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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, […] Read More
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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 […] Read More
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Early Reactions to House Hearing on GameStop and Recent Market Volatility, Part Two
The House Financial Services Committee will hold its second hearing on GameStop and recent volatility on March 17 at 10:00 a.m. EDT. The hearing is titled Game Stopped? Who Wins […] Read More
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Reactions to the House Hearing on GameStop – STA Open Call Recap
Last Thursday, the House Financial Services Committee convened a hearing on the recent market volatility titled “Game Stopped? Who Wins and Loses When Short Sellers, Social Media and Retail Investors […] Read More
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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
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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
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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