COMMENTS: October 7, 2009 - Amendments to Regulation SHO
[Release No. 34-59748; File No. S7-08-09]
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Comments have been received from individuals and entities using the following Letter Type A: 6
Comments have been received from individuals and entities using the following Letter Type B: 41
Comments have been received from individuals and entities using the following Letter Type C: 5,605
Comments have been received from individuals and entities using the following Letter Type D: 7
Comments have been received from individuals and entities using the following Letter Type E: 223
Comments have been received from individuals and entities using the following Letter Type F: 8
Oct. 6, 2009 Sam Turecki, Raanana, Israel
Oct. 6, 2009 Jack Kristeller, London, United Kingdom
Oct. 6, 2009 Robert E. Stroud, Esq.
Oct. 6, 2009 George Boyer, Fort Myers, Florida
Oct. 6, 2009 Jeffrey Gross
Oct. 2, 2009 Glenn Bartel, Crystal Lake, Illinois
Oct. 2, 2009 Memorandum from the Office of the Chairman regarding a September 30, 2009 Meeting with Representatives of the Managed Funds Association
Oct. 2, 2009 Bernhard Grosser, I.A.R. Woodbury Financial Services, Concord, California
Oct. 1, 2009 Memorandum from the Office of Commissioner Aguilar regarding a July 24, 2009, meeting with representatives of GETCO LLC
Oct. 1, 2009 Stuart J. Kaswell, Executive Vice President, Managing Director & General Counsel, Managed Funds Association
Oct. 1, 2009 Karel Sebek, Kalamazoo, Michigan
Oct. 1, 2009 Thomas Nguyen, Military, San Diego, California
Sep. 30, 2009 Memorandum from the Office of Commissioner Aguilar regarding a July 24, 2009 Meeting with Representatives of the CME Group
Sep. 30, 2009 Joe Teage, Georgia
Sep. 30, 2009 Michael Trocchio
Sep. 30, 2009 Edward D. Weinberger, Ph.D., Adjunct Assoc. Prof. of Finance and Risk Engineering, Polytechnic Institute of New York University, New York, New York
Sep. 30, 2009 Jeffrey W. Rubin, Chair, Committee on Federal Regulation of Securities, Business Law Section, American Bar Association, New York, New York
Sep. 30, 2009 Ted Kaufman, Senator, Delaware
Sep. 29, 2009 Patrick McDermott
Sep. 30, 2009 Michael R. Sawka, American Citizen, Palm Harbor, Florida
Sep. 29, 2009 Pete Brown, Investor
Sep. 29, 2009 Ben L. Wilks, Bellefonte, Pennsylvania
0 Sep. 29, 2009 Ben L. Wilks, Bellefonte, Pennsylvania
Sep. 29, 2009 Lloyd C. Zand, Individual Investor, Coral Gables, Florida
Sep. 29, 2009 Dhirendra K. Sharma, Mechanical Engineer, Sugar Land, Texas
Sep. 29, 2009 Robert Srote, MBA, Architect
Sep. 29, 2009 Kevin Holley, Finance, New York, New York
Sep. 29, 2009 John S. Bixby, Ameritas Investment Corp., Lincoln, Nebraska
Sep. 29, 2009 Michael J. Reinhardt, San Rafael, California
Sep. 29, 2009 Dan D. Shelburne, Westlake Village, California
Sep. 29, 2009 Joseph C. Bisti
Sep. 29, 2009 Walter Chanter, III, Shareholder, Lake Oswego, Oregon
Sep. 29, 2009 Richard King, Lake Worth, Florida
Sep. 29, 2009 Phillip B. Guthridge, Tomball, Texas
Sep. 29, 2009 Daryle Owen
Sep. 29, 2009 Mitchell Johns
Sep. 28, 2009 Brad Zimmerman
Sep. 28, 2009 Jonathan E. Johnson, III, President, Overstock.com
Sep. 28, 2009 Jon Alexander
Sep. 27, 2009 Michael James Long
Sep. 27, 2009 Steve Ericson
Sep. 26, 2009 Alan Martin
Sep. 25, 2009 David Furr
Sep. 25, 2009 James Hill
Sep. 25, 2009 Nick Hawryluk
Sep. 24, 2009 Jonathan E. Johnson , III, President, Overstock.com, Inc., Salt Lake City, Utah
Sep. 24, 2009 Sara Mclovin, Maine
Sep. 24, 2009 James N. Hill, Former Trader Securities Fraud Investigator, Griffin, Georgia
Sep. 24, 2009 Neal Ames, Los Angeles, California
Sep. 24, 2009 Harry J. Hillegonds, Tradesman, Lynwood, Illinois
Sep. 24, 2009 John Foster, Jr., Perrysburg, Ohio
Sep. 23, 2009 James A. Argiro, Professor, Westfield State College, Agawam, Massachusetts
Sep. 23, 2009 Manisha Kimmel, Executive Director, Financial Information Forum, New York, New York
Sep. 23, 2009 Wim Willems, Wijnandsrade, Netherlands
Sep. 22, 2009 Leonard J. Amoruso, General Counsel, Knight Capital Group, Inc.
Sep. 22, 2009 Jim R. Hall, P.O.'ed, Richmond, Virginia
Sep. 22, 2009 Peter J. Driscoll, Chairman, Security Traders Association and John C. Giesea, President & CEO, Security Traders Association
Sep. 22, 2009 Boston Options Exchange, Chicago Board Options Exchange, International Securities Exchange, NASDAQ Options Market, NASDAQ OMX PHLX, NYSE Amex, NYSE Arca, and The Options Clearing Corporation
Sep. 21, 2009 Charles M. Jones, Robert W. Lear Professor of Finance and Economics, Columbia Business School, New York, New York
Sep. 21, 2009 Richard Chase, Managing Director & General Counsel, RBC Capital Markets Corporation
Sep. 21, 2009 James J. Angel, Ph.D., CFA, Associate Professor of Finance, Georgetown University
Sep. 21, 2009 Ira D. Hammerman, SIFMA
Sep. 21, 2009 Paul M. Russo, Goldman, Sachs & Co.
Sep. 21, 2009 John C. Nagel, Citadel Investment Group, LLC
Sep. 21, 2009 Barry Friedman, Qtrade Capital Partners LLC
Sep. 21, 2009 Jesse D. Hill, Edward Jones
Sep. 21, 2009 Karrie McMillan, Investment Company Institute
Sep. 21, 2009 Janet M. Kissane, NYSE Euronext
Sep. 21, 2009 Michael L. Crowl, Barclays Global Investors
Sep. 21, 2009 Daniel Mathisson, Credit Suisse
Sep. 21, 2009 Gus Sauter, The Vanguard Group, Inc.
Sep. 21, 2009 Michael R. Gru, National Association of Real Estate
Sep. 21, 2009 Chris Concannon, Virtu Financial, LLC, New York, New York
Sep. 21, 2009 Suhas Daftuar, Managing Director, Hudson River Trading LLC
Sep. 21, 2009 William J. Brodsky, Chairman and CEO, Chicago Board Options Exchange, Chicago, Illinois
Sep. 21, 2009 Peter Kovac, Chief Operating Officer and Financial and Operations Principal, EWT, LLC
Sep. 21, 2009 John A. McCarthy, General Counsel, Global Electronic Trading Company, Chicago, Illinois
Sep. 21, 2009 Eric W. Hess, General Counsel, Direct Edge Holdings LLC, Jersey City, New Jersey
Sep. 21, 2009 Richard J. Adler, Managing Director, European Investors Inc., New York, New York
Sep. 21, 2009 Jeffrey S. Wecker, CEO, Lime Brokerage LLC, New York, New York
Sep. 21, 2009 Luke E. Fichthorn, IV, Managing Member, Dialectic Capital Management. LLC, New York, New York
Sep. 21, 2009 William Connell, President and Chief Executive Officer, Allston Trading LLC
Sep. 21, 2009 Kimberly Unger, Esq., Security Traders Association of New York, Inc., New York, New York
Sep. 21, 2009 James S. Chanos, Chairman: Coalition of Private Investment Companies, Washington, District of Columbia
Sep. 21, 2009 Christopher P. Hayes, Senior Legal Counsel, T. Rowe Price Associates, Inc., Baltimore, Maryland
Sep. 21, 2009 David Coombs, Bedford, Massachusetts
Sep. 21, 2009 Eric Swanson, BATS Exchange, Inc., Lenexa, Kansas
Sep. 21, 2009 Adam V. Reed, Ph.D., Associate Professor of Finance, University of North Carolina, Chapel Hill, North Carolina
Sep. 21, 2009 Michael Simon, Secretary, International Securities Exchange, LLC, New York, New York
Sep. 21, 2009 Glen Shipway
Sep. 21, 2009 Anonymous
Sep. 20, 2009 James L. Rothenberg, Esquire, Holland, Pennsylvania
Sep. 20, 2009 Jon A. Alexander, Investment Manager, Bloomington, Indiana
Sep. 20, 2009 Jim R Hall, Angry Investor, Richmond, Virginia
Sep. 19, 2009 Alec Hanson, New York, New York
Sep. 19, 2009 Andy N. Kirk, K-12 Teacher, Mississippi Public Schools, New Albany, Mississippi
Sep. 19, 2009 Jim R. Hall
Sep. 19, 2009 James Rubin, Robert Wood Johnson Medical Centel, New Brunswick, New Jersey
Sep. 19, 2009 Aadil Farid, Software Engineer, Naperviile, Illinois
Sep. 18, 2009 John Caetano, Surprise, Arizona
Sep. 18, 2009 Vincent E. Florack, Chicago, Illinois
Sep. 18, 2009 John C. Emmel, Bellevue, Washington
Sep. 18, 2009 E. Michael McConnell, Edina, Minnesota
Sep. 18, 2009 Donald B. LeMaster, P.E., MBA, PMP, Seattle, Washington
Sep. 18, 2009 Charlie Williams, Holland, Michigan
Sep. 18, 2009 Jim R. Hall, Richmond, Virginia
Sep. 17, 2009 D. Oliver
Sep. 17, 2009 Alfred Stasi, President, Altech Consulting, Inc., Fountain Inn, South Carolina
Sep. 17, 2009 Chandra Moturu
Sep. 17, 2009 Ronald C. Long, Director, Regulatory Affairs, Wells Fargo Advisors
Sep. 17, 2009 Jeffrey Parker
Sep. 17, 2009 David Hughes, Fortson, Georgia
Sep. 16, 2009 David Beckman
Sep. 16, 2009 Mike Wilson
Sep. 16, 2009 Pamela R. Langrall
Sep. 16, 2009 Gordon Rodgers, Fort Worth, Texas
Sep. 16, 2009 Anonymous
Sep. 16, 2009 John Gilmartin, Co-CEO and Ben Londergan, Co-CEO, Group One Trading LP, New York, New York
Sep. 16, 2009 Carrie Kauzlarich, Invetsor, NY, New York
Sep. 15, 2009 Robert W. Mitchals, Insurance, Willard, Missouri
Sep. 15, 2009 Anonymous
Sep. 15, 2009 Peter J.Chepucavage , General Counsel, Plexus Consulting LLC
Sep. 14, 2009 Barbara Palk, President, TD Asset Management, Toronto, Ontario
Sep. 14, 2009 Johnny Peters, ChFC, registered rep, Columubus, Saskatchewan
Sep. 15, 2009 Jack Fenchel, Beaver Falls, Pennsylvania
Sep. 15, 2009 Robert D. Tollen, Ph.D., Emeritus Professor, El Paso, Texas
Sep. 15, 2009 Peter Gakuba, Investment Advisor, Kenilworth, Illinois
Sep. 14, 2009 Jerry Guy, Stockbridge, Georgia
Sep. 13, 2009 Reza Ganjavi, Computer Scientist, Philosopher, Musician
Sep. 12, 2009 Yogesh S. Shah, Wyomissing, Pennsylvania
Sep. 12, 2009 James A. Stevens
Sep. 12, 2009 Frank D'Asero, Norwalk, California
Sep. 12, 2009 Michael S. Weiss, Hewlett, New York
Sep. 12, 2009 Anthony Crisafulli, Avenel, New Jersey
Sep. 12, 2009 Jeff Jacobsen, Brookport, Illinois
Sep. 12, 2009 Ronald Trelle
Sep. 11, 2009 George Vlahos
Sep. 11, 2009 Robert Haas
Sep. 11, 2009 George Vlahos, Asii, Aasa, Retired School Supterintendent
Sep. 11, 2009 Jim DeCosta
Sep. 11, 2009 Dr. Merritt, Broker, Los Angeles, California
Sep. 11, 2009 Dennis Madden, Minnesota
Sep. 11, 2009 Doug Tjaden, Missouri
Sep. 11, 2009 James H. Gibson, Newport, Rhode Island
Sep. 11, 2009 Anonymous
Sep. 10, 2009 William E. McDonnell, Jr., CCO, Atherton Lane Advisers, LLC, Menlo Park, California
Sep. 10, 2009 Stephen R. Porpora, Huntington Bay, New York
Sep. 10, 2009 Shawn McIsaac, Trader, Halifax, Canada
Sep. 10, 2009 Tom Gettings
Sep. 9, 2009 Jim E. McFall, Redding, California
Sep. 9, 2009 Roxana Noriega, Miami, Florida
Sep. 8, 2009 Pat Gualtieri, Individual Investor, Canada
Sep. 5, 2009 J. M. Corkill
Sep. 4, 2009 Christine G. Dale, Oxford, Mississippi
Sep. 4, 2009 Richard Belfanti, Attorney and Investor, Walnut Creek, California
Sep. 3, 2009 Bridget K. Carman, Rolling Hills Estates, California
Sep. 2, 2009 Shannon L. Hart, Oklahoma City, Oklahoma
Sep. 2, 2009 JD D. Fransen
Sep. 1, 2009 Darrell G. Hymer, Ohio
Sep. 1, 2009 John H. Preuss, Saint Cloud, Florida
Sep. 1, 2009 Ed Lynch
Sep. 1, 2009 Z. Zhou
Sep. 1, 2009 Harry Morton, Individual Investor, Midland, Michigan
Sep. 1, 2009 Don J., Wausau, Wisconsin
Aug. 31, 2009 Randall Poque, CEO, Arrow Energy, Inc.
Aug. 31, 2009 Nick Wells, Independent Trader, New York, New York
Aug. 31, 2009 Laura L. Grove, Des Moines, Iowa
Aug. 31, 2009 Sergio Lopez
Aug. 30, 2009 R. Neer
Aug. 30, 2009 Paul Eaton
Aug. 30, 2009 Paul Smith
Aug. 30, 2009 Anton C.
Aug. 30, 2009 Joe Latore
Aug. 29, 2009 Viggo Lundhild
Aug. 29, 2009 Keith O.
Aug. 29, 2009 Darrell Hymer
Aug. 29, 2009 William Novak
Aug. 29, 2009 Michael Phillips
Aug. 29, 2009 Kenny Green
Aug. 29, 2009 Tim L.
Aug. 29, 2009 Sharen Lindstrom
Aug. 29, 2009 R. King
Aug. 29, 2009 Brian Dudley
Aug. 29, 2009 Michael Zanni
Aug. 29, 2009 Brian Vickers
Aug. 29, 2009 A. J.
Aug. 28, 2009 Jose Lima, Arizona
Aug. 28, 2009 James Burton
Aug. 28, 2009 Robert Christensen
Aug. 28, 2009 John Baker
Aug. 28, 2009 D. Pines
Aug. 28, 2009 Anonymous
Aug. 27, 2009 James R. Hall
Aug. 27, 2009 Stefano Z.
Aug. 27, 2009 Richard Gerdy, Hartford, Michigan
Aug. 26, 2009 Jose Lima, Arizona
Aug. 26, 2009 Wanda Bond, Investor, Windermere, Florida
Aug. 26, 2009 Harry J. Gilligan, Elkton, Maryland
Aug. 26, 2009 R. Skinner
Aug. 25, 2009 John F. Del Gaizo, NYS Professional Engineer, Islip, New York
Aug. 25, 2009 David Campbell, Virginia
Aug. 25, 2009 James M. Loveman
Aug. 25, 2009 John G. Grimditch, Jr., Retired, Ridley Park, Pennsylvania
Aug. 25, 2009 Sharon Teage, Connecticut
Aug. 24, 2009 Martin L. Lyons
Aug. 24, 2009 Kim Vincent
Aug. 24, 2009 Mark Nielson
Aug. 24, 2009 George K., Investor
Aug. 24, 2009 George Boyer
Aug. 24, 2009 Mitchell L. Kupfer, Trader For 29 Years, New York, New York
Aug. 24, 2009 Terrry Jones
Aug. 24, 2009 Tom La, Software Test Engineer, San Jose, California
Aug. 24, 2009 David C. Garcia, Private Investor, London, United Kingdom
Aug. 24, 2009 Chris Harris, Investor, Lexington, Massachusetts
Aug. 23, 2009 Trevor Milaso
Aug. 23, 2009 Sam Peterson, New York, New York
Aug. 23, 2009 David Lindquester, Scottsdale, Arizona
Aug. 23, 2009 John Stevens, Maryland
Aug. 23, 2009 Anonymous
Aug. 23, 2009 Marc McFarley, New York, New York
Aug. 23, 2009 John Q., Trader
Aug. 22, 2009 George K., Investor
Aug. 21, 2009 Anonymous
Aug. 21, 2009 Rick Kearney
Aug. 21, 2009 Doug Brandon, Senior Software Engineer And Part Time Tarder
Aug. 21, 2009 Kurt N. Schacht, CFA, Managing Director, CFA Institute Centre for Financial Market Integrity and Linda L. Rittenhouse, Director, Capital Markets Policy, CFA Institute Centre for Financial Market Integrity
Aug. 21, 2009 Mark Nielson, Ph.D., NYC
Aug. 21, 2009 Andrew Ingram, Canada
Aug. 21, 2009 Memorandum from the Office of the Chairman regarding a July 16, 2009, meeting with William J. Brodsky
Aug. 21, 2009 Jeffrey Parker
Aug. 20, 2009 Robert Gordon, Apalachin, New York
Aug. 20, 2009 Andrea Shore
Aug. 20, 2009 David Patch
Aug. 20, 2009 Im Hall
Aug. 20, 2009 John King
Aug. 20, 2009 Jonathan Fial
Aug. 20, 2009 Don Lipari
Aug. 20, 2009 Gary Laajala
Aug. 20, 2009 Robert Baldwin
Aug. 20, 2009 K. Kurz
Aug. 20, 2009 James Kelly
Aug. 20, 2009 Brian Henry
Aug. 20, 2009 Doug Moore
Aug. 20, 2009 Richard Appelton
Aug. 20, 2009 Joe Maeder
Aug. 20, 2009 Richard Keane
Aug. 20, 2009 Michael Santini
Aug. 19, 2009 Warren Bevan
Aug. 19, 2009 Frank McMorrow
Aug. 19, 2009 Dennie Burks
Aug. 19, 2009 Madelene Walusek
Aug. 19, 2009 William Wierzbinski
Aug. 19, 2009 Robert Denworth
Aug. 19, 2009 Bayard Cartmell, Principal, George Elkins Mortgage Banking Company
Aug. 19, 2009 Patrick McQuaid
Aug. 19, 2009 Jim Hall
Aug. 19, 2009 Gary Bennett
Aug. 19, 2009 Dan Dillulio
Aug. 19, 2009 Jim Folliard
Aug. 19, 2009 Jack Pearson
Aug. 19, 2009 John Wasy
Aug. 19, 2009 Anthony Smiraldo
Aug. 19, 2009 Mahdee Raieesdana
Aug. 19, 2009 Greg Nathan
Aug. 19, 2009 Patrick Verhelst
Aug. 19, 2009 Michael Haga
Aug. 19, 2009 William Baker
Aug. 19, 2009 Rich B
Aug. 19, 2009 Charles Hernandez
Aug. 18, 2009 Heinz Lycklama
Aug. 18, 2009 Herman Carstens
Aug. 18, 2009 James Gash
Aug. 18, 2009 Frank Sebastian
Aug. 18, 2009 James Miller
Aug. 18, 2009 Danny Schilling
Aug. 18, 2009 Steve Tan
Aug. 18, 2009 David Findlay
Aug. 18, 2009 Paul Cuthbert
Aug. 18, 2009 Stephen Davis
Aug. 18, 2009 Winfield MacDonald
Aug. 18, 2009 Willie Glenn
Aug. 18, 2009 Bart Schnell
Aug. 18, 2009 Ed Kessler
Aug. 18, 2009 Steve Ericson
Aug. 18, 2009 Ingrid Kluth
Aug. 18, 2009 Gary Rupp
Aug. 18, 2009 Phil Smith
Aug. 18, 2009 Rick Crew
Aug. 18, 2009 Steve Ericson
Aug. 18, 2009 Janet Douglass
Aug. 18, 2009 John Farrell
Aug. 18, 2009 Ronald Ledford
Aug. 18, 2009 Dean Bork
Aug. 18, 2009 John Lyons
Aug. 18, 2009 Richard Cromie
Aug. 18, 2009 Glenn Tabor
Aug. 18, 2009 John Plesa
Aug. 18, 2009 Stephen Kauffman
Aug. 18, 2009 John Kubczak
Aug. 18, 2009 Jerome Solotky
Aug. 18, 2009 William Clendening
Aug. 18, 2009 Sharree Bell
Aug. 18, 2009 Anonymous
Aug. 18, 2009 John Berkey
Aug. 18, 2009 Robert Scacci
Aug. 18, 2009 David Sinclair
Aug. 18, 2009 Steve Roberts
Aug. 18, 2009 Steven Manning
Aug. 18, 2009 Harold Walker
Aug. 18, 2009 Kc Crafts
Aug. 18, 2009 John Wright
Aug. 18, 2009 Barbara Brinkley
Aug. 18, 2009 Jerry Mccrea
Aug. 18, 2009 Austin Godsey
Aug. 18, 2009 Bill Drewien
Aug. 18, 2009 Donald Warden
Aug. 18, 2009 Thomas Gorsich
Aug. 18, 2009 David Ogburn
Aug. 18, 2009 Kenneth Gross
Aug. 18, 2009 D Green
Aug. 18, 2009 Lamon Bennett
Aug. 18, 2009 Selim Saab
Aug. 18, 2009 Daniel Kaplan
Aug. 18, 2009 Anne Winn
Aug. 18, 2009 Daron Mcmillan
Aug. 18, 2009 Lucille Phelps
Aug. 18, 2009 John Reece
Aug. 18, 2009 Bernard Weinstein
Aug. 18, 2009 Thomas Moran
Aug. 18, 2009 Jose Toraya
Aug. 18, 2009 Michael Mazurek
Aug. 18, 2009 Larry Jacobson
Aug. 18, 2009 Rodney Thomas
Aug. 18, 2009 Scott Champion
Aug. 18, 2009 Mark Zitlin
Aug. 18, 2009 Jerry Sussman
Aug. 18, 2009 Luke Kleinschuster
Aug. 18, 2009 Glenn Moyer
Aug. 18, 2009 Joseph Jaeger
Aug. 18, 2009 Dwight Doering
Aug. 18, 2009 Patrick Weeks
Aug. 18, 2009 Chet Olson
Aug. 18, 2009 Michael Walker
Aug. 18, 2009 Robert Marechal
Aug. 18, 2009 Robert Wershay
Aug. 18, 2009 Scott Lederman
Aug. 18, 2009 Donald Jensen
Aug. 18, 2009 Martin Burger
Aug. 18, 2009 Eric
Aug. 18, 2009 John Blenkush
Aug. 18, 2009 Robert Kearns
Aug. 18, 2009 Bob G.
Aug. 18, 2009 Fred Kaifosh
Aug. 18, 2009 James Ernst
Aug. 18, 2009 Jim Snell
Aug. 18, 2009 Brian Ward
Aug. 18, 2009 Dan Esberg
Aug. 18, 2009 Nora Vincent
Aug. 18, 2009 Robert Collinge
Aug. 18, 2009 Sara Hitchens
Aug. 18, 2009 Eric Kottke
Aug. 18, 2009 Jeff Thompson
Aug. 18, 2009 Claude Blank
Aug. 18, 2009 Andreas Eisenkolb
Aug. 18, 2009 Steve Heggy
Aug. 18, 2009 Walter Wilmanski
Aug. 18, 2009 Michael Ghourdjian
Aug. 18, 2009 Michael Markowski
Aug. 17, 2009 Sanford Stuart
Aug. 17, 2009 P. Clarke
Aug. 17, 2009 Monty Guild, Guild Investment Management, Inc.
Aug. 17, 2009 Chris Frasher
Aug. 17, 2009 Ed Lane
Aug. 17, 2009 David Meiers
Aug. 17, 2009 Ezio Turrin
Aug. 17, 2009 Sandra Mohr
Aug. 17, 2009 N Wood
Aug. 17, 2009 John Kreimeyer
Aug. 17, 2009 Dennis Smith
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