Kurt P. Stocker
March 22, 2004
Mr. Jonathan G. Katz
Secretary
Securities and Exchange Commission
450 Fifth Street, NW
Washington, DC 20549-0609
(rule-comments@sec.gov)
Re: Request to Testify, File No. S7-10-04
Dear Mr. Katz:
I respectfully request the opportunity to appear before the April 21st public hearing of the Securities and Exchange Commission to offer my comments on the proposed market structure recommendations included in Regulation NMS.
As adjunct professor at Northwestern University's Medill School of Journalism and chairman of the New York Stock Exchange Individual Investor Advisory Committee (IIAC), I am keenly interested and aware of how the SEC's recommendations impact individual investors; please note that that this service is unpaid, only travel expenses are reimbursed by the Exchange. In that spirit, I wish to share my thoughts and views before the SEC during the aforementioned session.
Furthermore, I applaud the SEC's decision to conduct these hearings and its attention to market structure in the securities industry. It is vitally important that market participants, especially individual investors, have an opportunity to both understand the proposed changes and to be heard.
For the record, I have been a member of the NYSE IIAC since 1995 and chairman of this independent body since 1998. I look forward to hearing from you regarding my participation at the April 21st session. I can be reached at: 239-283-7313 or imcprof@aol.com.
Sincerely,
Kurt P. Stocker