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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
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Market Data and Our Industry’s Reliance
STA Open Call – November 10, 2016 – Call Notes[1] Market Data & Our Industry’s Reliance Presenter: Travis Schwab, Chief Executive Officer, Eventus Systems Full Replay of Call HERE Opening […] Read More
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SEC Proposed Amendments on Order Routing Disclosures Part II – RETAIL
At a July 13, open meeting the Securities and Exchange Commission (SEC) voted unanimously “to propose amendments to Rules 600 and 606 of Regulation NMS to require new disclosures by […] Read More
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SEC Order Handling Disclosure Proposal – Part I – Overview
STA has made multiple trips to Washington DC over the summer using two (2) sets of Talking Points: -Talking Points July 13, 2016 -Talking Points June 15, 2016 Approval of […] Read More