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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
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Open Call Report – Preview on SEC Market Data & Access Roundtable
SEC Chairman Jay Clayton Speech – In April 10, ‘18 speech, SEC Clayton committed to conducting roundtables on the three areas of focus in equity market structure for the Commission: […] Read More
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Open Call Report – FINRA Cross Product Surveillance
Good evening and welcome to tonight’s STA Open Call titled FINRA’s Cross Product Surveillance of the Listed Options and Equity Markets. Tonight’s call is brought to you by the STA […] Read More