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
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a March 12, 2004 meeting with representatives of NYSE Specialists
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a May 18, 2004 meeting with representatives of Bloomberg Tradebook
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding an April 12, 2004 meeting with Representatives of Morgan Stanley & Co. Incorporated
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding an April 27, 2004 meeting with representatives of Goldman, Sachs & Co.
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding an April 5, 2004 meeting with representatives of Inet ATS
Public Comment Michael J. Simon, Senior Vice President and Secretary, International Securities Exchange, Inc.
Public Comment Phil Lynch, Chief Executive Officer, Reuters America LLC
Public Comment Richard A. Korhammer, Chairman and Chief Executive Officer, Lava Trading Inc.
Public Comment Richard M. Whiting, Executive Director and General Counsel, Financial Services Roundtable
Public Comment Salvatore F. Sodano, Chairman and Chief Executive Officer, American Stock Exchange LLC
Public Comment Steve Swanson, CEO and President, Automated Trading Desk, LLC
Public Comment Theodore Karn, President, Market Systems Inc.
Public Comment Coleman Stipanovich, Executive Director, State Board of Administration of Florida
Public Comment David Colker, Chief Executive Officer and President, National Stock Exchange
Public Comment Glen A. Kundert, Director, Investor Relations, Southern Company
Public Comment Howard L. Schrott, Chief Financial Officer, The Liberty Corporation
Public Comment James K. Rutledge
Public Comment James Rutledge, New York, New York
Public Comment John Barous, Tenafly New Jersey
Public Comment Mark M. Murphy, Senior Vice President, Corporate Services, Cornerstone Realty Income Trust, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Goldschmid regarding a June 16, 2004 meeting with representatives of the Specialist Association of the New York Stock Exchange, Bear Wagner Specialists, and Spear, Leeds & Kellogg Specialists
Meeting with SEC Officials Memorandum from the Office of Commissioner Goldschmid regarding a June 23, 2004 meeting with representatives of the New York Stock Exchange, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Goldschmid regarding a June 9, 2004 meeting with representatives of the Nasdaq Stock Market, Inc., Ameritrade, and Winston & Strawn LLP
Meeting with SEC Officials Memorandum from the Office of Commissioner Goldschmid regarding a March 24, 2004 meeting with representatives of the New York Stock Exchange, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Goldschmid regarding a May 6, 2004 meeting with representatives of the New York Stock Exchange, Inc.
Meeting with SEC Officials Memorandum from the Office of Commissioner Goldschmid regarding an April 29, 2004 meeting with representatives of the Chicago Stock Exchange, Inc., and their counsel, Schiff Hardin LLP
Public Comment Patrick Carroll, Lexington Corporate Properties Trust
Public Comment Pete Sessions, U.S. House of Representatives
Public Comment Ronald A. Oguss, President, Xanadu Investment Co.
Public Comment Stuart L. Faust, Senior Vice President and Deputy General Counsel, Law Department, AXA Advisors LLC

Last Reviewed or Updated: Dec. 18, 2025

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