Category: Open Call

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 terms of securities lending transactions for public dissemination. The proposed rules would also make available to the public securities lending transaction data and aggregated information…  Read more

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 in the workforce are a good area for us to look at for improving our ability to attract tomorrow’s leaders.  Greenwood Project introduces Black and…  Read more

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 be less likely to negotiate. This article highlights a recent Security Traders Association’s Women in Finance Webinar and explains how women can leverage their skills…  Read more

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, the SEC’s infrastructure amendments were published in the Federal Register. There is a long road ahead before these amendments to Regulation NMS will be implemented.   In…  Read more

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 – The Greenwood Project The Greenwood Project introduces Black and Latinx college and high school students to careers within financial services. Today, GP is a…  Read more