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Comments on NYSE MKT LLC Rulemaking
Notice of Filing of Proposed Rule Change Amending Rules 340, 341, and 359 to Extend the Time Within Which a Member or Member Organization or an ATP Holder Must File a Uniform Termination Notice for Securities Industry Registration
[Release No. 34-78198; File No. SR-NYSEMKT-2016-52]
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| Jan. 16, 2017 | Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange |
| Jan. 4, 2017 | Michele Van Tassel, President, Association of Registration Management (ARM), New York, New York |
| Nov. 16, 2016 | Mike Rothman, President, NASAA President and Minnesota Commissioner of Commerce |
| Nov. 14, 2016 | Edwin L. Reed, Deputy Director, Alabama Securities Commission, Montgomery, Alabama |
| Nov. 4, 2016 | Michele Van Tassel, President, Association of Registration Management (ARM), New York, New York |
| Oct. 26, 2016 | Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange |
| Oct. 19, 2016 | Kevin A. Zambrowicz, Managing Director & Associate General Counsel, SIFMA |
| Oct. 3, 2016 | Rick A. Fleming, SEC Investor Advocate, and Tracey L. McNeil, SEC Ombudsman |
| Aug. 12, 2016 | Elizabeth King, General Counsel and Corporate Secretary, New York Stock Exchange |
| Aug. 3, 2016 | Judith Shaw, President, North American Securities Administrators Association (NASAA) and Maine Securities Administrator
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Meetings with SEC Officials
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| Oct. 14, 2016 | Memorandum from the Office of the Investor Advocate regarding an October 13, 2016, conference call with representatives of North American Securities Administrators Association |
http://www.sec.gov/comments/sr-nysemkt-2016-52/nysemkt201652.shtml
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