New MEMORANDUM To: Public Comment File S7-14-16 · 2018. 10. 31. · MEMORANDUM . To: Public...
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MEMORANDUM To: Public Comment File S7-14-16 From: Jill S. Henderson Counsel to Commissioner Kara M. Stein U.S. Securities and Exchange Commission Date: October 31, 2018 Re: Meeting with Representatives from RBC and Others On October 30, 2018, Commissioner Stein and Jill Henderson (Counsel to Commissioner Stein) met with the following: o Bobby Grubert, RBC Capital Markets o Rich Steiner, RBC Capital Markets o Shawn Maher, Royal Bank of Canada o Danielle Barrett, Royal Bank of Canada o Matt Waldner, Columbia Threadneedle Investments o Mett Kinak, T. Rowe Price o Craig Hurl, Ontario Teachers Pension Plan o Mike Buek, The Vanguard Group o Jeff Estella, MFS o Jason Vedder, Driehaus Capital Management Topics discussed include the proposed Rule on Disclosure of Order Handling Information. Attachment: RBC Capital Markets, Complexity of Exchange Pricing and Corresponding Challenges to Transparency and Routing (Oct. 2018)
Transcript of New MEMORANDUM To: Public Comment File S7-14-16 · 2018. 10. 31. · MEMORANDUM . To: Public...
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MEMORANDUM
To: Public Comment File S7-14-16
From: Jill S. Henderson Counsel to Commissioner Kara M. Stein U.S. Securities and Exchange Commission
Date: October 31, 2018
Re: Meeting with Representatives from RBC and Others
On October 30, 2018, Commissioner Stein and Jill Henderson (Counsel to Commissioner Stein) met with the following:
o Bobby Grubert, RBC Capital Markets o Rich Steiner, RBC Capital Markets o Shawn Maher, Royal Bank of Canada o Danielle Barrett, Royal Bank of Canada o Matt Waldner, Columbia Threadneedle Investments o Mett Kinak, T. Rowe Price o Craig Hurl, Ontario Teachers Pension Plan o Mike Buek, The Vanguard Group o Jeff Estella, MFS o Jason Vedder, Driehaus Capital Management
Topics discussed include the proposed Rule on Disclosure of Order Handling Information.
Attachment: RBC Capital Markets, Complexity of Exchange Pricing and Corresponding Challenges to Transparency and Routing (Oct. 2018)
