Comments on Proposed Rule: Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self- Regulatory Organizations; Ownership Reporting Requirements for Members of Self- Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self- Regulatory Organization

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Date Received
Date Letter Type Commenter Name
Public Comment Janelle White
Public Comment William L. Livingston, PE
Public Comment Linda L. Rittenhouse, Senior Policy Analyst, CFA Centre for Financial Market Integrity
Public Comment Jeffrey T. Brown, Senior Vice President, Office of Legislative and Regulatory Affairs, Charles Schwab & Co., Inc.
Public Comment Marc E. Lackritz, President, Securities Industry Association
Public Comment Ann Yerger, Executive Director, Council of Institutional Investors
Public Comment Anthony K. Stankiewicz, Esq., Vice President, Legal and Governance, Boston Stock Exchange, Inc.
Public Comment Archipelago Exchange, Boston Stock Exchange, Chicago Stock Exchange, International Securities Exchange, Nasdaq Stock Market, and Philadelphia Stock Exchange
Public Comment Ari Burstein, Associate Counsel, Investment Company Institute
Public Comment Dale E. Brown, CAE, Executive Director & CEO, Financial Services Institute
Public Comment David C. Whitcomb Jr., Senior Vice President & Chief Regulatory Officer and Ellen J. Neely, Senior Vice President & General Counsel, Chicago Stock Exchange
Public Comment David P. Semak, Securities Markets Consultant
Public Comment Edward J. Nicoll, Chief Executive Officer, Instinet Group Incorporated
Public Comment Edward S. Knight, Executive Vice President and General Counsel, Nasdaq Stock Market, Inc.
Public Comment Jack Ehnes, Chief Executive Officer, California State Teachers' Retirement System
Public Comment Laurie Fiori Hacking, Executive Director, Ohio Public Employees Retirement System
Public Comment Marjorie Gross, Senior Vice President and Regulatory Counsel, The Bond Market Association
Public Comment Mary Yeager, Assistant Secretary, New York Stock Exchange
Public Comment Meyer S. Frucher, Chairman and Chief Executive Officer, Philadelphia Stock Exchange, Inc.
Public Comment Michael J. Simon, Secretary, International Securities Exchange, Inc.
Public Comment Neal Wolkoff, Acting Chief Executive Officer, American Stock Exchange
Public Comment Philip D. DeFeo, Chairman and Chief Executive Officer, Pacific Exchange
Public Comment Robert R. Glauber, Chairman and CEO, NASD
Public Comment William J. Brodsky, Chairman and Chief Executive Officer, Chicago Board Options Exchange, Incorporated
Public Comment William L. Livingston, PE
Public Comment Raymond H. Gambel, MBA, retired state examiner, Metairie, Louisiana
Public Comment Raymond H. Gambel, MBA, retired, Metairie, Louisiana
Public Comment William Livingston
Public Comment Raymond H. Gambel, retired, Metairie, Louisiana
Meeting with SEC Officials Memorandum from the Division of Market Regulation regarding a conference call with representatives of the New York Stock Exchange, Inc.

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-39-04
Release Number
34-50699
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