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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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
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European Commission Decision on Unbundling the Payment for Research with Commissions
Special Presenter: Duncan Higgins, ITG Who are the parties involved on Unbundling Commissions in Europe? European Council & European Parliament European Commission, “EC” European Securities and Markets Authority, “ESMA” Financial […] Read More
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FINRA Cybersecurity Report/eSentire
Special Presenter: J. Paul Haynes, eSentire On February 2, 2015 FINRA released a report for financial firms on cybersecurity practices. Information found in the report is based on various assessment […] Read More
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Preview on STA Tick Letter
As most if not all of you already know the comment period on the proposed NMS Plan to implement a Tick Size Pilot Program closes this Monday, December 22nd. STA […] Read More
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FINRA CARDS
Special Presenter: Mike Rufino, FINRA This evening we will be featuring FINRA’s requests for comments on a rule proposal to implement the Comprehensive Automated Risk Data System, better known as […] Read More
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STA Buy Side Member Initiatives
Market Structure & Regulation – which issues are impacting trading the most? Regulation ATS & Transparency in Dark Pools; What information can be made publically available which today in only […] Read More
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Defining Front Running & Insider Trading in Today’s Markets
This call has no materials. Read More
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SEC MIDAS System
Special Presenter: Charles Collver, SEC Office of Analytics and Research In the aftermath of the Flash Crash in 2010, it became clear that technology has progressed so far and so […] Read More
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FINRA’s Regulatory Notice 14-07; ATS Reporting
Special Presenter: Chris Stone, FINRA On January 17, 2014, the SEC approved two (2) proposed FINRA rule changes; (i) adopt FINRA Rule 4552 which requires each ATS to report to […] Read More
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Hill Visits and Congressional Preview for 2014
Special Presenter: Joel Oswald, Williams & Jensen A synopsis of the some of the more relevant issues in DC Full Open Call transcript (PDF)> Read More