- Comment Letter to the U.S. Securities and Exchange Commission re: Comment Letter to the U.S. Securities and Exchange Commission re: New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Amend Section 802.01C of the NYSE Listed Company Manual (Price Criteria for Capital or Common Stock) To Limit the Use of Reverse Stock Splits To Regain Compliance With the Price Criteria in Certain Circumstances (Release No. 34-101306; File No. SR-NYSE-202448) November 4, 2024 Read Letter
- Comment Letter to the U.S. Securities and Exchange Commission re: The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change to Modify the Application of the Minimum Bid Price Compliance Periods and the Delisting Appeals Process for Bid Price Non-Compliance in Listing Rules 5810 and 5815 Under Certain Circumstances (Release No. 34–100767; File No. SR– NASDAQ–2024–045) September 13, 2024 Read Letter
- Comment Letter to the U.S. Securities and Exchange Commission re: Order Competition Rule (File No. S7-31-22); Regulation Best Execution (File No. S7-32-22); Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (S7-30-22); Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers (File No. S7-12-23) May 20, 2024 Read Letter
- Comment Letter to the U.S Department of the Treasury re: Request for Information on the Treasury Department’s work to develop a national strategy for financial inclusion; Docket No. TREAS-DO-2023-0014 February 20, 2024 Read Letter
- Comment Letter to the U.S. Securities and Exchange Commission re: Request for Comment on Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers; File No. S7-12-23 October 10, 2023 Read Letter
- Comment Letter to the U.S. Securities and Exchange Commission re: Order Competition Rule (File No. S7-31-22); Regulation Best Execution (File No. S7-32-22); Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders (S7-30-22); Disclosure of Order Execution Information (S7-29-22) June 1, 2023 Read Letter
