dictum meum pactum
“my word is my bond”

Security Traders Association


since 1934

Category: Comment Letters

  • FINRA/ATS Filing

    The Security Traders Association (“STA”) welcomes the opportunity to comment on proposed rule changes (“ATS Filing”) to: (i) FINRA Rule 4522 to require each alternative trading system (“ATS”) to report […] Read More

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    SEC Small Business Advisory Committee

    The Security Traders Association (“STA”) wishes to offer comment on several of the recommendations made by the Commission’s Small Business Advisory Committee under file number 265-27. The STA also respectfully […] Read More

  • Shortening Deadline for Form 13(f)

    The Security Traders Association, “STA” welcomes the opportunity to comment on NYSE Petition for Rulemaking under Section 13(f) of the Securities Exchange Act of 1934; File No. 4-659; “Petition”. The […] Read More

  • Tick Study

    Over the course of our seventy-nine year history, the Security Traders Association (STA) has provided unique and focused comment on issues related to market structure. STA members are practitioners in […] Read More

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    Tick Size

    We urge the Commission to initiate a pilot program to investigate whether widening the MPVs for emerging growth companies will result in benefits to investors. We recommend that, at a […] Read More

  • “Mini Contract” proposals

    The Security Traders Association, “STA” welcomes the opportunity to comment on Regulatory notices; SR-NYSEArca-2012-26 & SR-ISE-2012-26 Mini-Option Proposals, “Proposals”. The STA is an organization comprised of individuals who are involved […] Read More

  • RLP

    The Security Traders Association (“STA”) appreciates this opportunity to submit comments in regards to the above-referenced New York Stock Exchange (“NYSE”) proposal to establish a Retail Liquidity Program (“RLP” or […] Read More

  • Comment Letter – Senate Banking on Capital Formation

    STA letter to Senator Tim Johnson, then Chairman of the Committee on Banking, House and Urban Affairs; dated March 20, 2012:   “We believe both market makers and other liquidity […] Read More

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    Comment Letter to Senate Banking On Capital Formation

    Dear Chairman Johnson and Ranking Member Shelby, Recently, the House of Representative passed H.R. 3606, the “Jumpstart Our Business Startups Act.” The Security Traders Association, “STA”1 would like to share […] Read More

  • Centralized Audit Trail

    The Security Traders Association (STA) would like to take this opportunity to provide comments on the proposed Consolidated Audit Trail (CAT) discussed in File Number S7-11-10 (the “Proposal”). The STA […] Read More