dictum meum pactum
“my word is my bond”

Security Traders Association


since 1934

Category: Comment Letters

  • 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

  • Proposed Amendments to Rule 5210

    The Security Traders Association, “STA” welcomes the opportunity to comment on Regulatory Notice: 11-43 -Proposed Amendment to FINRA Rule 5210 (“Amendment”). The STA is an organization comprised of individuals who […] Read More

  • Limit Up Down

    STA welcomes the opportunity to comment on the Plan to Address Extraordinary Market Volatility (the “Plan”) Submitted to the Securities and Exchange Commission (“Commission”) Pursuant to Rule 608 of Regulation […] Read More

  • CFTC Proposed Amendment

    The Security Traders Association (“STA”) welcomes the opportunity to comment on the CFTC proposed amendment to rule 4.5. We hope that the opinions of our membership will assist the Commission […] Read More

  • Joint CFTC-SEC Advisory Committee

    STA welcomes the opportunity to comment on the recommendations made by the Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (the “Committee”), in response to the Market Events of May […] Read More

  • SEC Concept Release Response

    The Security Traders Association (“STA”) welcomes the opportunity to respond to questions posed by the Securities and Exchange Commission (“SEC” or the “Commission”) on the SEC Concept Release, 34-61358 (“Concept […] Read More

  • SHO Rule 201

    The Security Traders Association (STA) Options Sub-Committee (Committee) appreciates this opportunity to comment on the February 24, 2010 Final rule amendments to Regulation SHO Rule 201. Read full comment letter […] Read More