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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
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Open Call: SEC Proposes Significant Expansion of Regulations ATS
To help raise awareness and educate the broader industry on the SEC’s proposed rules that would significantly expand Regulation ATS, STA is pleased to provide a recorded Open Call that […] Read More
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Open Call Recap: Market Data Experts Weigh in on SEC’s Proposed MDI Rule Changes
On Thursday, January 27, Security Traders Association (STA) hosted an open call entitled, “Market Data Infrastructure Rule Proposed Pricing – What is Fair and Reasonable?” featuring Manisha Kimmel, Chief Policy […] Read More
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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