Category: STA in DC
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Visits to the Hill
STA Issues Consolidated Audit Trail (“CAT”) Amendments to the “Reopening of American Capital Markets to Emerging Growth Companies Act of 2011” (H.R. 3606) New York Stock Exchange LLC; Retail Liquidity […] Read More
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Rule 608 of Regulation NMS; Large Trader Reporting
STA Issues Discuss the letter to the SEC from Participants of the Plan dated November 2, 2011 titled: “Response to Comments on Plan to Address Extraordinary Market Volatility Pursuant to […] Read More
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Large Trader Reporting, Limit Up/Down “LULD”
STA Issues Provide an update on the partnership STA has formed with FIF for educating industry participants on the implementation of Large Trader Reporting, LTR. Discuss some the macro open […] Read More
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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
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SEC Rule 13h-1 and Form 13h; Limit Up/Down “LULD”
STA Issues Express our intentions to play an active role in the implementation of the recently approved SEC Rule 13h-1 and Form 13h, “Larger Trader Reporting” (LTR). Discuss STA’s recommendation […] Read More
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STA Provides Comment Letter To SEC On “Limit Up Limit Down” Proposal
Association applauds investor protection aspects, but asks SEC to review Committee structure (New York, NY: June 23, 2011) Last night, The Security Traders Association (STA) filed its comment letter (http://bit.ly/STA_LUD) […] Read More
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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
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Notice of Filing of a National Market System Plan to Address Extraordinary Market Volatility (“Plan”)
STA Issues STA is in general support of the, “Plan”. It is an innovative and progressive means to handle volatility in today’s highly technical and electronic market. Amendments may be […] Read More
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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
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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