Insight From the Front Lines: Congressional Leaders and Regulators Share Industry Views at STA’s Washington DC Spring Update
On Wednesday, April 19, STA hosted its 2023 Washington DC Spring Update, a virtual event that brought together congressional, regulatory and business leaders shaping the future of the U.S. securities industry. Attendees had the opportunity to hear directly from the lawmakers and regulators responsible for the supervision of our markets and obtain a deeper understanding… Read more
STA Comment Letter on December 2022 SEC Market Structure Proposals
The Security Traders Association (“STA”) appreciates the opportunity to provide comments on the abovereferenced amendments to Regulation NMS2 (“Reg NMS”) and new rules (“Proposals”) proposed by theU.S. Securities and Exchange Commission (“Commission”) on December 14, 2022. STA was founded in1934 and is an organization comprised of individuals who are involved in the trading of financial… Read more
STA Comment Letter on Exchange Act Release No. 30-95388; File No. S7-05-15. Exemption for Certain Exchange Members
The Security Traders Association (“STA”) appreciates the opportunity to provide comments in responseto the Securities and Exchange Commission (“Commission”) re-proposal of amendments to Rule 15b9-1under the Securities Exchange Act of 1934 (“Act” or “Exchange Act”) that exempts certain registeredbrokers or dealers from membership in a registered securities association (“Association”). The reproposed amendments (“Proposal”) “would replace… Read more
STA Comment Letter on JOBS 4.0 Discussion Draft
The Security Traders Association (STA) appreciates the opportunity to provide comments on theJOBS 4.0 discussion draft. STA is an organization comprised of individuals who are involved inthe trading of financial securities in the U.S and Canada. Our members are employed at retailbrokerage firms, agency only broker-dealers, asset owners and managers, market makers, liquidity providers and… Read more
STA Comments on SEC Chair Gary Gensler’s Remarks on Equity Market Structure Reform
New York, June 13, 2022 (GLOBE NEWSWIRE) — In response to remarks from SEC Chair Gary Gensler on equity market structure reform, Security Traders Association (STA) issued the following statement from President and CEO Jim Toes: “STA agrees with SEC Chair Gary Gensler that retail investors have greater access to the equity markets than ever… Read more