Spotlight On:
Regulation NMS

• April 21 Hearing Transcript
   
• April 21 Hearing Webcast Information and Link
   
• Chairman William H. Donaldson's Opening Remarks at the April 21 Hearing on Regulation NMS
   

SEC Releases

• Regulation NMS: Extension of Comment Period and Supplemental Request for Comments (Proposing Release No. 34-49749; May 20, 2004)
   
• SEC Announces Agenda for Public Hearing on Proposed Regulation NMS, April 21, 2004, 9:00 a.m. – 5:30 p.m. (Press Release 2004-52; April 15, 2004)
   
• Notice of Change in Hearing Schedule (Release No. 34-49511; March 31, 2004)
   
• SEC Announces Regulation NMS Public Hearings Schedule Change (Press Release 2004-43; March 30, 2004)
   
• Notice of Hearings (Release No. 34-49408; March 12, 2004)
   
• Public Hearings on Regulation NMS to be Held on April 1 and 21, 2004 (Press Release 2004-32; March 12, 2004)
   
• Regulation NMS (Proposing Release No. 34-49325; February 26, 2004)
   
• SEC to Publish Regulation NMS for Public Comment (Press Release 2004-22; Feb. 24, 2004)
   

Testimony and Requests to Testify

• American Stock Exchange
    Testimony, March 26, 2004
    Request to Testify, March 22, 2004
   
• Ameritrade Holding Corporation
    Testimony, March 26, 2004
    Request to Testify, March 22, 2004
    Formal testimony / opening statment, April 21, 2004
   
• Alistair Brown, Managing Director, Lime Brokerage LLC
    Testimony, March 25, 2004
    Request to Testify, March 22, 2004
   
• Bloomberg Tradebook LLC
    Testimony, April 12, 2004
    Request to Testify, March 26, 2004
   
• William J. Brodsky, Chairman & Chief Executive Officer, Chicago Board Options Exchange
    Testimony, April 12, 2004
    Request to Testify, April 8, 2004
   
• Brut, LLC
    Testimony, March 25, 2004
    Request to Testify, March 12, 2004
    Formal testimony / opening statement, April 21, 2004
   
• Chicago Stock Exchange, Incorporated
    Testimony, March 26, 2004
    Request to Testify, March 19, 2004
   
• David Colker, CEO and President, National Stock Exchange
    Testimony, March 26, 2004
    Request to Testify, March 19, 2004
    Formal testimony / opening statement, April 21, 2004
   
• Kevin Cronin, Director of Equity Trading, AIM Investments
    Request to Testify and Testimony, April 14, 2004
    Formal testimony / opening statement, April 21, 2004
   
• Scott DeSano, Fidelity Investments
    Testimony, April 9, 2004
    Request to Testify, March 22, 2004
   
• Robert B. Fagenson, Vice Chairman, Van Der Moolen Specialists USA, Inc.
    Testimony, March 26, 2004
    Request to Testify, March 19, 2004
   
• Financial Information Forum
    Testimony, March 26, 2004
    Request to Testify, March 22, 2004
   
• Financial Services Roundtable
    Testimony, March 25, 2004
    Request to Testify, March 19, 2004
    Formal testimony / opening statement, April 21, 2004
   
• Paul Finkelstein, President and CEO, Regis Corporation
    Testimony, March 26, 2004
    Request to Testify, March 19, 2004
   
• Goldman, Sachs & Co.
    Request to Testify, April 15, 2004
    Formal testimony / opening statement, April 21, 2004
   
• Interactive Brokers Group
    Testimony, March 25, 2004
    Request to Testify, March 26 (revised), 2004
    Formal testimony / opening statement, April 21, 2004
   
• Investment Company Institute
    Testimony, April 12, 2004
    Request to Testify, March 17, 2004
    Formal testimony / opening statement, April 21, 2004
   
• Thomas Joyce, CEO and President, Knight Trading Group, Inc.
    Request to Testify, March 22, 2004
    Formal testimony / opening statement, April 21, 2004
   
• Michael LaBranche, LaBranche & Co., Inc.
    Testimony, March 26, 2004
    Request to Testify, March 18, 2004
   
• Linda Lerner, General Counsel, Domestic Securities, Inc.,
    Testimony, March 26, 2004
    Request to Testify, March 17, 2004
   
• Liquidnet Holdings, Inc.
    Testimony, March 26, 2004
    Request to Testify, March 22, 2004
   
• Dr. J. P. London, Chairman, President, and CEO, CACI International Inc.
    Testimony, March 26, 2004
    Request to Testify, March 22, 2004
   
• Bernard L. Madoff, Bernard L. Madoff Investment Securities LLC
    Testimony, April 19, 2004
    Request to Testify, April 8, 2004
   
• James MaGuire
    Request to Testify and Testimony, April 8, 2004
   
• John Martello, Managing Director, Tower Research Capital LLC
    Testimony, March 26, 2004
    Request to Testify, March 18, 2004
   
• Daniel McCabe, CEO, Bear Hunter Structured Products, LLC
    Testimony, March 25, 2004
    Request to Testify, March 22, 2004
   
• Jeffrey L. McWaters, Chairman and CEO, Amerigroup Corporation
    Testimony, March 26, 2004
    Request to Testify, March 19, 2004
   
• Morgan Stanley
    Request to Testify, April 8, 2004
    Formal testimony / opening statement, April 21, 2004
   
• Nasdaq Stock Market, Inc.
    Testimony, April 9, 2004
    Request to Testify, March 16, 2004
   
• New York Stock Exchange
    Testimony, March 26, 2004
    Request to Testify, March 22, 2004
   
• Edward J. Nicoll, CEO, Instinet Group, LLC
    Testimony, March 25, 2004
    Request to Testify, March 19, 2004
    Formal testimony / opening statement, April 21, 2004
   
• Junius W. Peake, Monfort Distinguished Professor of Finance, Kenneth W. Monfort College of Business, University of Northern Colorado
    Testimony and Request to Testify, March 15, 2004
   
• Philadelphia Stock Exchange
    Testimony, March 26, 2004
    Request to Testify, March 19, 2004
   
• Reuters America Inc.
    Testimony, March 26, 2004
    Request to Testify, March 19, 2004
   
• Richard Roberts
    Request to Testify, April 26, 2004
   
• Charles Schwab and Co.
    Testimony, March 26, 2004
    Request to Testify, March 19, 2004
    Formal testimony / opening statement, April 21, 2004
   
• Securities Industry Association
    Testimony, March 26, 2004
    Request to Testify, March 19, 2004
   
• Security Traders Association
    Request to Testify and Testimony, March 22, 2004
   
• Robert W. Seijas
    Testimony, March 26, 2004
    Request to Testify, March 22, 2004
   
• Kurt P. Stocker
    Testimony, March 26, 2004
    Request to Testify, March 22, 2004
   
• Value Improvement Associates
    Testimony, March 26, 2004
    Request to Testify, March 22, 2004
   
• Vanguard Group
    Request to Testify, April 12, 2004
    Formal testimony / opening statement, April 21, 2004
   
• Daniel G. Weaver, Ph.D., Associate Professor of Finance, Rutgers University
    Testimony, March 26, 2004
    Request to Testify, March 22, 2004
   
• Donald E. Weeden, Weeden & Co., L.P.
    Testimony, April 7, 2004
    Request to Testify, April 7, 2004
   
• Jack N. Wilentz
    Testimony, April 2, 2004
    Request to Testify, April 2, 2004
   
• Jennifer Williams, The Griswold Company
    Testimony, March 26, 2004
    Request to Testify, March 18, 2004
   

http://www.sec.gov/spotlight/regnms.htm