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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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
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Open Call – Fixed Income ETFs: When Market Structures Collide
STA Open Call – May 21, 2020 Fixed Income ETFs; When Market Structures Collide Eric Pollackov, Invesco & Adam Gould, Tradeweb Delisting Chinese Companies – Senate & House Bills The […] Read More
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Open Call – Road to Modernize the Over-the-Counter Market
STA Open Call — April 29, 2020 Road to Modernize the Over-the-Counter Market Jacob Rappaport, INTL FCStoneDan Zinn, OTC Markets Executive Summary In September 2019, the SEC announced proposed amendments […] Read More
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Open Call – Overcome and Thrive
STA Open Call – March 30, 2020 COVID-19: Overcome & Thrive with Jason Redman Rule 606 On March 25, the SEC granted the FIF/STA request that certain Rule 606(a) and […] Read More
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Open Call – Implementation of Rule 606
STA Open Call – February 26, 2020 Rule 606 Implementation Chris Bok, FIF & Jim Toes, STA Reference Material[1] STA Comment Letter on Rule 15c2-11 STA commends the Commission for […] Read More
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Open Call – New Consolidated Market Data Plan
STA Open Call – January 23, 2020 – Call Notes[1] New Consolidated Market Data Plan (“Proposed Order”) Mike Masone, Citi Nat Evarts, SSGA Opening Remarks – Jim Toes, STA STA […] Read More
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Open Call Report — The ETF Rule
STA Open Call – November 4, 2019 – Call Notes* The ETF Rule Eric Pollackov, Head of Global ETF Capital Markets, Invesco Opening Remarks & Material– Jim Toes, STA STA […] Read More
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Open Call Report – SEC FinHub Guidance on “Investment Contracts” & Digital Assets
STA Open Call – April 25, 2019 Call Notes[ SEC FinHub Guidance on Digital Assets Kristin Boggiano, Chief Legal Officer, AlphaPoint Kapil Barthi, Global Head of Trading Markets, AlphaPoint to […] Read More
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Open Call Report – Rule 606
STA Open Call – March 13, 2019 – Call Notes[1] Rule 606: Getting Closer Mark Davies, S3 Rule 606 Infographic LINK Opening Remarks – Jim Toes, STA STA Comment Letters […] Read More
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Open Call Report – Cannabis’ Emerging Opportunities
STA Open Call – February 7, 2019 Call Notes[1] Cannabis: Emerging Opportunities Sachin Barot, CEO Ceres Labs Giadha Aguirre deCarcer, Founder & CEO New Frontier Data State of the Cannabis […] Read More