REQUEST FOR COMMENT ON DRAFT RULE AMENDMENTS TO REQUIRE CONFIRMATION DISCLOSURE OF MARK-UPS FOR SPECIFIED PRINCIPAL TRANSACTIONS WITH RETAIL CUSTOMERS [COMMENT DEADLINE EXTENDED]

1.  Aaron Botbyl: E-mail dated October 9, 2015

2.  Bernardi Securities, Inc.: Letter from Eric Bederman, SVP, Chief Operating & Compliance Officer, dated December 4, 2015

3.  Bond Dealers of America: Letter from Michael Nicholas, Chief Executive Officer, dated December 11, 2015

4.  CFA Institute: Letter from Kurt N. Schacht, Managing Director, Standards and Financial Market Integrity, and Linda L. Rittenhouse, Director, Capital Markets Policy, dated December 11, 2015

5.  Charles Schwab & Co. Inc.: Letter from Jason Clague, Senior Vice President, Trading & Middle Office Services, dated December 11, 2015

6.  Chris Melton: E-mail dated October 30, 2015

7.  Christopher [last name withheld]: E-mail dated September 25, 2015

8.  Consumer Federation of America: Letter from Micah Hauptman, Financial Services Counsel, dated December 11, 2015

9.  Diamant Investment Corporation: Letter from Herbert Diamant, President, dated November 30, 2015

10.  Fidelity Investments: Letter from Norman L. Ashkenas, Chief Compliance Officer, Fidelity Brokerage Services, LLC, and Richard J. O'Brien, Chief Compliance Officer, National Financial Services, LLC, dated December 11, 2015

11.  Financial Information Forum: Letter from Darren Wasney, Program Manager, dated December 11, 2015

12.  Financial Services Institute: Letter from David T. Bellaire, Executive Vice President & General Counsel, dated December 11, 2015

13.  Gerald Heilpern: Letter 

14.  LPL Financial LLC: Letter from David P. Bergers, General Counsel, dated December 10, 2015

15.  Morgan Stanley Smith Barney LLC: Letter from Elizabeth Dennis, Managing Director, dated December 11, 2015

16.  Office of the Investor Advocate, U.S. Securities and Exchange Commission: Letter from Rick A. Fleming, Investor Advocate, dated December 11, 2015

17.  Patrick Luby: Letter dated December 11, 2015

18.  Public Investors Arbitration Bar Association: Letter from Hugh D. Berkson, President, dated December 8, 2015

19.  RBC Capital Markets, LLC: Letter from David L. Cohen, Senior Counsel and Director, dated December 15, 2015

20.  RW Smith & Associates, LLC: Letter from Paige W. Pierce, President & CEO, dated December 11, 2015

21.  Securities Industry and Financial Markets Association: Letter from Sean Davy, Managing Director, Capital Markets Division, and Leslie M. Norwood, Managing Director & Associate General Counsel, Municipal Securities Division, dated December 11, 2015

22.  Thomson Reuters: Letter from Manisha Kimmel, Chief Regulatory Officer, Wealth Management, dated December 11, 2015

23.  TMC Bonds, LLC: Letter from Thomas S. Vales, Chief Executive Officer, dated December 11, 2015

24.  Wells Fargo Advisors, LLC: Letter from Robert J. McCarthy, Director of Regulatory Policy, dated December 11, 2015