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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
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Venture Markets & Senate Hearing on SEC Nominees
On March 16th, the STA hosted an Open Call on venture markets and the Main Street Growth Act (H.R. 4638) which would allow for the creation of venture exchanges. All […] Read More
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Senate Banking Hearing on US Equity Market Structure
On March 3rd, the Senate Banking, Housing, and Urban Affairs Subcommittee on Securities, Insurance, and Investment conducted an open hearing on US Equity Market Structure titled: “Regulatory Reforms to Improve […] Read More
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SEC Equity Market Structure Advisory Committee Feb 2 Review
On Tuesday, February 2, 2016 at 9:30am the SEC EMSAC held its third meeting. The Committee will focus on August 24, 2015 and certain issues affecting customers in the current […] Read More
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SEC Report on August 24 Events
On December 29, 2015 SEC Staff of the Office of Analytics and Research, (“OAR”) issued a research note assessing “..the operation of U.S. equity markets under the stressed conditions of […] Read More
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SEC Proposed Amendments to Reg ATS
Special Presenter: Adam Sussman, Liquidnet STA completed two days of visits on the Hill and with the SEC. Topics discussed included the SEC’s proposed new rules to Regulation ATS. In […] Read More
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SEC Market Structure Advisory Committee Oct. 27 Meeting Review
Special Presenter: Joe Ratterman, Chairman, BATS Global Markets This was the second official meeting of this newly formed committee The agenda included (1) Rule 610 of Reg NMS, aka the […] Read More
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Implementation of Tick Size Pilot Plan
Special Presenter: Brendon Weiss, NYSE NYSE Brendon Weiss is Chairman of the SRO Tick Size Pilot Plan Operating Committee. Mr. Weiss’ remarks covered the Operating Committee and the data collection […] Read More
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SEC Market Structure Advisory Committee May 13th Meeting Review
Presenter: Eric Noll, President & CEO, Convergex SEC EMSAC inaugural meeting discussion topics • Should the SEC allow for publically displayed locked markets • Should the industry allow for locked […] Read More