Category: Open Call
Funded by the STA Foundation, a nonprofit 501(c)(3) corporation, Open Calls are meant to educate and inform participants on important and timely issues related to market structure, as well as regulatory and legislative updates. Open Calls can also focus on career development. Unless noted otherwise, all Open Calls are open to the general public, which include STA members, non-members, regulators and legislators, and the press.
STA has hosted over 70 Open Calls to date. We aim to provide our audience with Open Calls at least every other month.
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Open Call: SEC Proposals on Reg NMS & Order Competition Rule
On December 14, 2022, the SEC proposed four rule filings relating to wholesale changes to equity market structure. The comment period for letters expired March 31, during which numerous leading […] Read More
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Open Call Recap – SEC Equity Proposals: Disclosure of Order Execution Information (Rule 605)
On December 14, the SEC unveiled its largest and most comprehensive set of proposed reforms to the US equity markets since Reg NMS was instituted in 2005. While these proposals […] Read More
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Open Call: The State of Private Markets
The private markets continue to evolve, creating opportunities for managers, investors and companies. This open call focused on four main areas. First, we discussed the infrastructure of private markets compared […] Read More
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Open Call: SEC Equity Market Proposals: Disclosure of Order Execution Information (Rule 605)
On December 14 the SEC unveiled its biggest proposed reforms to the U.S. equity markets since Reg NMS was instituted in 2005. In its 6-hour Open Meeting the SEC’s Chairman […] Read More
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Open Call: The Financial Services’ Journey to the Cloud
The growth of financial services firms moving data and certain business functions to the cloud has increased exponentially post Covid. While the benefits of the cloud have existed for some […] Read More
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Open Call: Outsourcing by Investment Advisers SEC Proposed New Rule 206(4)-11, and Amendments to Rule 204-2 and Form ADV
On October 26, 2022, the Securities and Exchange Commission (SEC) proposed new rule 206(4)-11 and rule amendments under the Advisers Act that prohibit SEC-registered investment advisers from outsourcing certain services […] Read More
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Open Call: How to Intern Successfully
If you are fortunate enough to have a college student or recent grad uate who is interested in obtaining an internship, we encourage them to listen to our latest STA […] Read More
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Open Call: Outsourced and Supplementary Trading Part One
Recent surveys show that more than one-third of asset managers see outsourced or supplementary trading relationships as a means to achieve operational efficiencies and a strategy to address the ever-changing […] Read More
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Open Call: FinTech & Digital Assets: State of Play
On March 30, 2022, STA hosted its annual Washington DC Spring Update that featured various congressional members and business leaders. Among the topics discussed were the regulatory regime for FinTech […] Read More
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Open Call: SEC Proposed Amendments to Shorten the Settlement Cycle from T+2 to T+1
To help raise awareness and educate the broader industry on the Securities and Exchange Commission (SEC) proposed rules that would shorten the settlement cycle from two business days (T+2) to […] Read More