Category: Open Call

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

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

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

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

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

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

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

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

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

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