dictum meum pactum
“my word is my bond”

Security Traders Association


since 1934

Category: Comment Letters

  • Comment Letter: FINRA Engagement Initiative

    Dear Ms. Mitchell: STA welcomes the opportunity to offer comment on FINRA Special Notice (the “Notice”) Engagement Initiative. We greatly respect and appreciate FINRA’s 360 Review, in particular this request […] Read More

  • Comment Letter: FINRA Safe Harbor on Desk Commentary

    Dear Ms. Mitchell, The Security Traders Association (“STA”) [1]welcomes the opportunity to comment on proposed amendments to FINRA Rule 2241 (Research Analysts and Research Reports) and FINRA Rule 2242 (Debt […] Read More

  • The Financial CHOICE Act

    Dear Chairman Hensarling and Ranking Member Waters, The Security Traders Association (“STA”)1 appreciates the opportunity to comment on the “Financial CHOICE Act of 2017” (H.R. 10). STA’s comments will focus […] Read More

  • Order Routing Disclosures: Part II

    The Security Traders Association (“STA”) appreciates the opportunity to offer additional comments on the Securities and Exchange Commission (“Commission” or “SEC”) proposed rule on Disclosure of Order Handling Information; File […] Read More

  • Order Routing Disclosures

    The Security Traders Association (“STA”) appreciates the opportunity to offer comments on the Securities and Exchange Commission (“Commission” or “SEC”) proposed rule on Disclosure of Order Handling Information; File No. […] Read More

  • Order Routing Disclosures

    The Security Traders Association (“STA”) appreciates the opportunity to offer comments on the Securities and Exchange Commission (“Commission” or “SEC”) proposed rule on Disclosure of Order Handling Information; File No. […] Read More

  • Auction Mechanisms in Listed Options

    Re: File No. SR-NYSE MKT-2016-45 – Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the NYSE Amex Options Fee Schedule with Respect to Fees, […] Read More

  • STA Comment Letter on CAT

    “The development of the Consolidated Audit Trail will represent an unprecedented opportunity to improve the Commission’s ability to surveil the market. It is critical to have an informed and detailed […] Read More

  • Financial CHOICE Act of 2016

    The Security Traders Association (“STA”)1 appreciates the opportunity to comment on the “Financial CHOICE Act of 2016” discussion draft. STA’s comments will focus on section 404 of Financial CHOICE Act […] Read More

  • NYSE Market Data Fees for Regulatory Purposes, File No. SR-NYSE-2016-19

    The Security Traders Association (“STA”)1 offers comments on NYSE Market Data Fees for Regulatory Purposes, File No. SR-NYSE-2016-19 (the “Proposal”). The Proposal filed with the Securities and Exchange Commission (the […] Read More