Category: Comment Letters
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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
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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
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SEC Proposed Amendments to Regulation ATS
The Security Traders Association (“STA”)1 appreciates the opportunity to comment on the Securities and Exchange Commission (“Commission”) proposed amendments to the regulatory requirements in Regulation ATS under the Securities Exchange […] Read More
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FINRA Proposed Exemptions to the TAF for Proprietary Trading Firms
The Security Traders Association (“STA”) is pleased to offer comment on FINRA Regulatory Notice 15-13 which proposes exemptions to the TAF for proprietary trading firms. The STA is comprised of […] Read More
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Securities & Exchange Advisory Committee on Small & Emerging Companies
The Security Traders Association (“STA”) wishes to offer comment on the agenda item: “Committee Discussion of Venture Exchanges and Secondary Market Trading Issues” discussed at March 4, 2015, meeting of […] Read More
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FSOC Asset Management Products and Activities
The Security Traders Association (“STA”) is pleased to offer comments on the Financial Stability Oversight Council (the “Council”) notice “seeking public comment on aspects of the asset management industry in […] Read More
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SEC Equity Market Structure Advisory Committee
The Security Traders Association (“STA”) wishes to make certain recommendations regarding the membership of the recently announced SEC Equity Market Structure Advisory Committee (“EMSAC”). The STA is an organization comprised […] Read More
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NMS Tick Size Pilot Plan
The Security Traders Association (“STA”)1 offers comment on the national market system plan (“Plan”) to implement a targeted 12-month pilot program that will widen minimum quoting and trading increments (“tick […] Read More
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Marketplace Rebate Study – Canada
We would like to bring to your attention the opportunity to conduct a comprehensive crossborder study of the effect of marketplace rebates on market quality and integrity, in conjunction with […] Read More
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Tick Size Pilot Plan
The Security Traders Association (“STA”)1 submits this comment letter on the national market system plan (“Plan”) proposal filed by the national securities exchanges and the Financial Industry Regulatory Authority (“FINRA”) […] Read More