Category: Comment Letters
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Comment Letter: Subcommittee on Diversity & Inclusion
The Security Traders Association (“STA”) is a grassroots industry organization comprised of 24 affiliates in the U.S. and Canada. STA members represent individuals employed in the financial services industry across […] Read More
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Comment Letter: Senate Banking Committee: Capital Formation
The Security Traders Association (STA) appreciates the opportunity to provide comments on legislative proposals in advance of the February 28, 2019, Senate Committee on Banking, Housing, and Urban Affairs hearing […] Read More
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Comment Letter: SEC No-Action Letters; MiFID II
STA believes that a meaningful number of market participants anticipate the Commission granting an extension on the existing “no-action” relief. Therefore, a decision to allow the relief to expire in […] Read More
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Comment Letter: Industry Letter; 18th Amendment to LULD
We are writing in regards to the Commission’s ongoing efforts to improve the resiliency of the equity market. We represent a diverse cross-section of market participants who are committed to […] Read More
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Comment Letter: FINRA Continuing Education
The Security Traders Association (“STA”) appreciates the opportunity to offer comments on FINRA Regulatory Notice 18-26 (“Notice”) which seeks industry input on, “…enhancements to the Securities Industry Continuing Education Program […] Read More
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Comment Letter: Tick Size Pilot
The Security Traders Association, (“STA”) offers comments on the Tick Size Pilot Program (“Pilot”, or “Plan”). STA’s comments on issues related to market structure come from our roles as practitioners […] Read More
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Comment Letter: Proposed Access Fee Pilot
Dear Mr. Fields: STA welcomes the opportunity to offer comment on the Securities and Exchange Commission’s (“SEC” or the “Commission”) proposed Transaction Fee Pilot for NMS Securities (“Pilot”). As the […] Read More
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Comment Letter: Rule 5250
Dear Ms. Mitchell: The Security Traders Association, (“STA”) welcomes the opportunity to offer comment on FINRA Retrospective Rule Review on the Effectiveness and Efficiency of Its Payment for Market Making […] Read More
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Comment Letter: CAT NMS Implementation Plan
The Security Traders Association (“STA”) appreciates the opportunity to offer comments to the Thesys CAT, LLC and the Operating Committee on the DRAFT CAT Reporting Technical Specifications for Industry Members […] Read More