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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
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Open Call Report – Implementation of Amendments to Rule 606
STA Open Call – December 11, 2018 – Call Notes[1] Implementation of Amendments to Rules 605 & 606 Chris Bok, FIF & Son-Mi Lee, FIF John Roeser, Associate Director, SEC […] Read More
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Open Call Report – Securities Lending; A $10b Revenue Line
STA Open Call – December 4, 2018 – Call Notes[1] Securities Lending: A $10 Billion Revenue Line Presenter: Bob Levy, Hanweck Presentation HERE Opening Remarks – Jim Toes, STA […] Read More