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’s Proposed Rules on Securities Lending
On November 18th the SEC published and requested comment on proposed Rule 10c-1 (Rule) which would for the first time require all lenders of securities to provide data and material negotiated […] Read More
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Open Call: Greenwood Project: Introducing Tomorrow’s Leaders
In order for our industry to compete on a global scale it needs to attract and retain the brightest minds of every generation. Student internships, which are often an individual’s first experience […] Read More
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Open Call Recap – STA Women in Finance Webinar: Challenges and Opportunities Women Face in Negotiations
Women in business and finance face certain biases and disadvantages in negotiations. They can be criticized for being “aggressive,” a trait that is often praised in men. Consequently, women can […] Read More
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Open Call: Round Lot Reform
On December 9, 2020, the SEC adopted rules to modernize the infrastructure for the collection, consolidation, and dissemination of market data for exchange-listed national market system stocks. This past April 2021, […] Read More
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Open Call – NYSE Comment Letter on CAT
Summary Report STA Open Call – May 27, 2021 An Alternative CAT Funding Proposal Michael Blaugrund, NYSE Group & Jim Toes, STA Audio Replay and Video Replay 2021 STA Charity […] Read More
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Early Reactions to House Hearing on GameStop and Recent Market Volatility, Part Two
The House Financial Services Committee will hold its second hearing on GameStop and recent volatility on March 17 at 10:00 a.m. EDT. The hearing is titled Game Stopped? Who Wins […] Read More
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Reactions to the House Hearing on GameStop – STA Open Call Recap
Last Thursday, the House Financial Services Committee convened a hearing on the recent market volatility titled “Game Stopped? Who Wins and Loses When Short Sellers, Social Media and Retail Investors […] Read More
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Options: Does the Giant Grow Bigger in 2021?
Open Call Description The ability for investors to connect to the listed options market and trade with confidence is greatly attributed to technology and education. These factors, along with low costs, […] Read More
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SIE; College Student Home for the Holidays?
In October 2018 FINRA streamlined the qualification exams for occupations in the financial services industry. The traditional Series 7 license has been replaced with FINRA’s Securities Industry Essentials (SIE) Exam […] Read More
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Buy Side Incorporates Rule 606(b)(3)
As of July 29, 2020, asset managers could begin requesting reports on the handling of not-held orders given to broker dealers. Under Rule 606(b)(3), reports for not-held orders must be provided […] Read More