Regulatory Comment Letters and Testimony

Knight's management frequently participates in the public debate surrounding current and proposed changes to market structure and regulation. Use the links below to access comment letters and transcriptions of testimony on a variety of industry issues.

DATE TITLE PDF
7.06.07 Knight's Comments to the NFA on Forex Capital and Internal Controls
6.01.07 Knight's Comments to the SEC on the Proposed Rule Change Relating to Access Fee Display Requirements for the OTCBB'
9.20.06 Knight's Comments to the SEC on Proposed Amendments to Regulation SHO
5.30.06 Knight's Comments to the SEC on the National Securities Clearing Corporation Related to Trade Submission Requirements and Fees and Pre-Netting
5.5.06 Knight's Comment to the SEC on NASD Proposed Rules On ECN Fees
1.24.06 Knight's Comment to NASD on Rule Change Amendment No. 2 Relating to Sub-Penny Restrictions for Non-Nasdaq OTC Equity Securities
5.18.05 Thomas Joyce's NMS Testimony (Senate)
2.15.05 Thomas Joyce's NMS Testimony (House)
1.25.05 Thomas Joyce's NMS Comment Letter
7.2.04 Knight's Comment Letter to the SEC on Proposed Regulation NMS
4.21.04 Thomas Joyce's Testimony Before the SEC Regarding Proposed Regulation NMS
4.15.04 Knight Letter to SEC Regarding Concept Release on Competitive Development in the Options Markets
1.6.04 Knight's Comment on Short Sale Rule Proposal
11.6.03 Knight's Comment on Amex's Joint Venture Pilot Program with S&P
10.30.03 Thomas Joyce's Testimony Before Congress Regarding Market Structure Issues (House)


© Copyright 2006 - Knight Capital Group, Inc. All rights reserved.
Advertising and Marketing Collateral Disclaimers / Business Continuity Plan / Operating Business Segments / Privacy / Terms of Use and Disclosure