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Comments on NSCC Rulemaking
Notice of Filing of Proposed Rule Change Relating to Trade Submission Requirements and Fees and Pre-Netting
(Release No. 34-53742; File No. SR-NSCC-2006-04)
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| Jun. 30, 2008 |
Memorandum from the Division of Trading and Markets regarding a June 30, 2008, meeting with representatives from Knight Capital Group, Automated Trading Desk, BNY/ConvergeX, BATS, Wedbush Morgan Securities, and NSCC |
| Apr. 30, 2008 |
Memorandum from the Division of Trading and Markets regarding a April 29, 2008, meeting with representatives from Knight Capital Group, Automated Trading Desk, BNY/ConvergeX, Citadel Investment Group, Direct Edge ECN, GETCO LLC, Penson Financial Services, Inc., and Wedbush Morgan Securities |
| Mar. 4, 2008 |
Memorandum from the Division of Trading and Markets regarding a February 29, 2008, teleconference with staff from Wedbush Morgan Securities |
| Feb. 28, 2008 |
Memorandum from the Division of Trading and Markets regarding a February 28, 2008, meeting with staff from Citigroup Global Markets, Inc. |
| Feb. 28, 2008 |
Memorandum from the Division of Trading and Markets regarding a February 28, 2008, teleconference with staff from BATS Trading, Inc. |
| Feb. 28, 2008 |
Memorandum from the Division of Trading and Markets regarding a February 26, 2008, teleconference with staff from UBS Securities, LLC |
| Nov. 6, 2007 |
Memorandum from the Division of Market Regulation regarding a October 2, 2007, meeting with representatives of Knight Capital Group, Automated Trading Desk, BNY Brokerage, Citadel Group, BATS Trading, Direct Edge ECN, UBS Securities, and Wedbush Morgan Securities |
| Nov. 6, 2007 |
Memorandum from the Division of Market Regulation regarding a October 15, 2007, meeting with representatives of the National Securities Clearing Corporation |
| Nov. 10, 2006 |
Jim Richards, Executive Vice President, Wedbush Morgan Securities, Los Angeles, California |
| Oct. 6, 2006 |
Steve Swanson, President and CEO, Automated Trading Desk, LLC |
| Sep. 27, 2006 |
Norman Eaker, Principal, Operations Division, Edward Jones, St. Louis, Missouri |
| Sep. 19, 2006 |
Memorandum from the Office of Commissioner Atkins regarding a September 14, 2006 meeting with representatives of the Depository Trust and Clearing Corporation |
| Aug. 18, 2006 |
Larry E. Thompson, General Counsel, National Securities Clearing Corporation |
| Jun. 9, 2006 |
Barclay M. Frey, Managing Director, BNY Brokerage Inc. |
| Jun. 6, 2006 |
Keith F. Karlawish, CFA, BB&T Asset Management |
| Jun. 5, 2006 |
Robert Alumbaugh, Chief Executive Officer, Tradebot Systems, Inc. |
| May 30, 2006 |
Steve Swanson, CEO and President, Automated Trading Desk, LLC, Mt. Pleasant, South Carolina |
| May 30, 2006 |
Leonard J. Amoruso, Senior Managing Director and Chief Compliance Officer, Knight Capital Group, Inc., Jersey City, New Jersey |
| May 30, 2006 |
Matthew Price, Executive Director, UBS Securities LLC, Stamford, Connecticut |
| May 25, 2006 |
R. J. Richards, Executive Vice President, Wedbush Morgan Securities, Los Angeles, California |
| May 9, 2006 |
Stephen Schuler, Managing Member/Co-founder, Getco Holding Company |
http://www.sec.gov/comments/sr-nscc-2006-04/nscc200604.shtml
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