Category: STA in DC
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SEC IAC Recommendations
The Security Traders Association (“STA”) wishes to offer comment on the three (3) recommendations made by the Securities and Exchange Commission’s (“Commission”) Investor Advisory Committee (“IAC”) Subcommittee on Market Structure […] Read More
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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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Jobs Act; SIPs; Tax Reform
STA Issues *STA Conference focus issues Capital Formation; Risk & Surveillance;Quality of Regulation *JOBS ACT: Pilot program conducted by SEC to study the effects decimalization, with no minimum price variation […] Read More
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JOBS Act; Tax Reform; Fixed Income Roundtable
STA Issues *JOBS ACT: Pilot program conducted by SEC to study the effects decimalization, with no minimum price variation, (“MPV”) for “emerging growth companies” *Chairman’s Camp draft proposal for financial […] 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
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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
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SEC Roundtable; 13(f) filings; Financial Transaction Taxes “FTT’s”
STA Issues *“Petition for Rulemaking” to shorten the reporting time on 13F filings from 45 days to 2 day filed on February 1, 2013 by NYSE and two (2) trade […] Read More
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Large Trader Relief; Upcoming SEC Roundtable
STA Issues Present past material STA has issued on the topics of capital formation and decimalization with no minimum quote or trade increments Comment on the Securities and Exchange Commission […] Read More
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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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SEC Trading & Market Re: “Tick Study/JOBS Act” & “CAT”
STA Issues Discuss and solicit feedback on STA’s Comment Letter, dated July 16, 2012 Re: Tick size study mandated by the Jumpstart Our Business Startups Act of 2012, “JOBS Act” […] Read More