Category: Open Call
Funded by the STA Foundation, a nonprofit 501(c)(3) corporation, Open Calls are meant to educate and inform participants on important and timely issues related to market structure, as well as regulatory and legislative updates. Open Calls can also focus on career development. Unless noted otherwise, all Open Calls are open to the general public, which include STA members, non-members, regulators and legislators, and the press.
STA has hosted over 70 Open Calls to date. We aim to provide our audience with Open Calls at least every other month.
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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
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Open Call Report – Access Fee Pilot – Buy Side
Good evening and welcome to tonight’s Open Call on the SEC’s Access Fee Pilot and items of specific interest for asset managers. Tonight’s call is brought to you by the […] Read More
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Open Call Report – SEC Roundtable on Thinly Traded Securities
Good evening and welcome to tonight’s Open Call on the SEC Roundtable on Thinly Traded Securities and an update on the SEC Transaction fee pilot, aka the Access fee pilot. […] Read More
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Open Call Report – Industry Update on CAT
Under the CAT NMS Plan, industry outreach groups formed previously were disbanded which resulted in unofficial & fragmented outreach initiatives w/ SROs, SEC, Thesys CAT & various trade associations like […] Read More
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Open Call Report – FINRA’s 2018 Regulatory and Examination Priorities Letter
On January 8, 2018, FINRA published its 2018 Regulatory & Examinations Priorities Letter. The list of categories included; Fraud; Operational & Financial Risks; Sales Practice Risks; New Rules and Market […] Read More
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Open Call Report – New FINRA Exam Process
In July 2017 the SEC approved FINRA’s proposed rule change to streamline competency exams and expand opportunities for prospective securities professionals STA Open Call – November 29, 2017 – Call […] Read More
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MiFID II: North American Manager & Broker Dealer
STA Open Call – March 2, 2017 – Call Notes1 MiFID II: North American Manager & Broker Dealer Presenter: Tom Conigliaro, IHSMarkit View full call report here (PDF)> Read More
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IHS Markit on MiFID II
The unbundling of research and execution requirements under MiFID II are less than a year away from being implemented. This event with its competitive and regulatory effects, is likely to […] Read More