Comments on Proposed Rule: Regulation NMS

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 12
B: 39
C: 179
D: 29
E: 2
F: 6
G: 452
H: 70
I: 204
J: 548
K: 28
L: 109
N: 13

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Date Received
Date Letter Type Commenter Name
Public Comment Junius W. Peake, Monfort Distinguished Professor Emeritus of Finance
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a February 2, 2005 meeting with representatives of Bear Steams & Co.
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a January 24, 2005 meeting with representatives of the Investment Company Institute
Public Comment Richard Chapman, American Citizen, Cambridge, Massachusetts
Public Comment Eric D. Roiter, Senior Vice President and General Counsel, Fidelity Management & Research Company
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a meeting with a representative of the Council for Institutional Investors
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a meeting with a representative of Charles Schwab
Public Comment Daniel G. Weaver, Ph.D., Associate Professor of Finance, Associate Director, Whitcomb Center for Research in Financial Services, Rutgers School of Business, Rutgers University
Public Comment Fred Rittereiser, James Wilent,and David Scheffler, Vianet Direct, Inc.
Meeting with SEC Officials Memorandum from Office of the Chairman regarding a meeting with representatives of the Security Traders Association
Meeting with SEC Officials Memorandum from Office of the Chairman regarding a meeting with representatives of UBS AG on February 16, 2005 and representatives of UBS Securities LLC on February 2, 2005
Public Comment Edward J. Joyce, President and Chief Operating Office, Chicago Board Options Exchange, Incorporated
Public Comment Michael Albanese, Systems Administrator, Procurement and Sourcing Management, New York Stock Exchange
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding January 20, 2005 correspondence from Robert Stonehill
Public Comment Deborah Pryce and Eric Cantor, Members of Congress
Public Comment John E. Sweeney, Member of Congress
Meeting with SEC Officials Memorandum from the Office of the Chairman regarding a meeting with representatives of the California Public Employees' Retirement System
Public Comment Thomas N. McManus, Managing Director and Counsel, Morgan Stanley
Public Comment Timothy H. Bishop, Member of Congress
Public Comment Lawrence Harris, Fred V. Keenan Chair in Finance, USC Marshall School of Business
Public Comment Bruce C. Turner, Managing Director, CIBC World Markets Corp.
Public Comment Elizabeth Dole, United States Senate
Public Comment Michael J. Lynch, Managing Director, Merrill Lynch, Pierce, Fenner & Smith Incorporated
Public Comment Richard M. Whiting, Executive Director and General Counsel, The Financial Services Roundtable
Public Comment Bernard L. Madoff and Peter B. Madoff, Bernard L. Madoff Investment Securities LLC
Public Comment David Baker, Global Head of Cash Trading and Global Head of Portfolio Trading, Deutsche Bank Securities Inc.
Public Comment Bridget M. Farrell, Co-Chairman and Michael P. Rountree, Co-Chairman, OTC/UTP Operating Committee of the Nasdaq Unlisted Trading Privileges Plan
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a February 2, 2005 meeting with respresentatives of UBS
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a January 26, 2005 visited the office of P. Schoenfeld Asset Management LLC in New York, New York
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a January 31, 2005 meeting with representatives of the Nasdaq Stock Market

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-10-04
Release Number
34-49325
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