dictum meum pactum
“my word is my bond”

Security Traders Association


since 1934

Category: Comment Letters

  • 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

  • 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

  • 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