Category: STA in DC
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Equity Mom
by Jim ToesPresident & CEO, STA SEC Commissioner Hester Peirce delivered a thought-provoking speech on equity market structure at the 12th Annual Conference on Financial Market Regulation. At the outset, […] Read More
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Comment Letter: Review of FINRA’s Pattern Day Trading Rules
The Security Traders Association1 (“STA”) appreciates the opportunity to submit comments on FINRA Regulatory Notice 24-132 (the “Notice”), which details FINRA’s retrospective review of its day trading requirements to evaluate […] Read More
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STA Comment Letter On OCC Margin Proposal (Part 2)
November 06, 2024 Ms. Vanessa A. CountrymanSecretarySecurities and Exchange Commission100 F Street, NEWashington, DC 20549-1090 Re: Release No. 34-100664; File No. SR-OCC-2024-010; Margin Add-On Charge to HelpMitigate the Risks Arising […] Read More
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STA Comment Letter On OCC Margin Proposal (Part 1)
September 2, 2024 Ms. Vanessa A. CountrymanSecretarySecurities and Exchange Commission100 F Street, NEWashington, DC 20549-1090 Re: Release No. 34-100664; File No. SR-OCC-2024-010; Margin Add-On Charge to HelpMitigate the Risks Arising […] Read More
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Joining Financial Forces: Highlights from STA’s Washington DC Spring Update
At STA, providing industry education and fostering collaboration among the many different players that comprise our nation’s constantly evolving financial services landscape are key aspects of our mission. Our events […] Read More
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STA Letter to FINRA on Rule 4210
Dear Mr. Cook: The undersigned entities submit this letter to express their concerns with the outdated manner in which margin requirements for pattern day traders with accounts below $25,000 are […] Read More
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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 […] Read More
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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 […] Read More
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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 […] Read More
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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 […] Read More