Category: Newsletter: STA
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Reflecting on Unprecedented Times & Updates from the Hill
SEC Adopts Amendments to the CAT NMS Plan to Improve Transparency and Financial Accountability – May 15 The Securities and Exchange Commission today voted to adopt amendments to the national […] Read More
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#GrassrootsGiving
SEC Forms Cross-Divisional COVID-19 Market Monitoring Group The Securities and Exchange Commission today announced the formation of an internal, cross-divisional COVID-19 Market Monitoring Group. This temporary, senior-level group will assist the […] Read More
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From the Hill and #EachforEqual
Public Statement of SEC Chairman Jay Clayton for FSOC Open Meeting The women and men of the SEC are focused on two overriding issues: (1) we are facing a national challenge […] Read More
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On the Value of Partnerships and Open Call Notice
From the Hill SEC Proposes to Modernize Key Market Infrastructure Responsible for Collecting, Consolidating, and Disseminating Securities Market Data The Securities and Exchange Commission today proposed to modernize the […] Read More
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Pocket ACES
Pocket Aces by Chris Halverson, CAPIS STA Chairman of the Board As a parent of two inquisitive kids, I’m asked a variety of questions every day. Given my limited bandwidth, the […] Read More
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From the Hill and 2020 Events
SEC Adopts Actions to Stand Up Security-Based Swap Regulatory Regime The Securities and Exchange Commission adopted a package of rule amendments, guidance, and a related order to expand and improve […] Read More
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Giving Thanks to Our Colleagues and ETF Rule Open Call Report
SEC Announces Extension of Temporary Measure to Facilitate Cross-Border Implementation of the European Union’s MiFID II’s Research Provisions Today the staff of the U.S. Securities and Exchange Commission issued an […] Read More
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The Real Value of STA & Conference Photos
SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities The Securities and Exchange Commission today issued a statement that invites exchanges and other market participants to submit innovative […] Read More
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Labor Day Remembrance
SEC Publishes Responses to FAQs on Rule 606 Rule 606, as amended, requires more meaningful disclosures relevant to today’s marketplace that encourage broker-dealers to provide more effective and competitive order […] Read More
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STA Conference First 15 Speakers and DC Meeting Recaps
FINRA holds July 2019 Board of Governors Meeting. FINRA CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provided updates from the meeting in a video report . Emily Westerberg […] Read More