Category: STA in DC
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Comment Letter: FIF and STA Comments on Amended SEC Rule 606
While much progress has been made with respect to the industry’s implied understanding of the scope and breadth of data that the SEC Staff expects to be reported pursuant to […] Read More
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Talking Points – March 2019
Discussion Document – March 2019 Who We Are STA is comprised of 24 affiliate organizations covering the entire US and Canada. The STA national board of governors is comprised of […] Read More
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Comment Letter: Subcommittee on Diversity & Inclusion
The Security Traders Association (“STA”) is a grassroots industry organization comprised of 24 affiliates in the U.S. and Canada. STA members represent individuals employed in the financial services industry across […] Read More
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Comment Letter: Senate Banking Committee: Capital Formation
The Security Traders Association (STA) appreciates the opportunity to provide comments on legislative proposals in advance of the February 28, 2019, Senate Committee on Banking, Housing, and Urban Affairs hearing […] Read More
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Comment Letter: SEC No-Action Letters; MiFID II
STA believes that a meaningful number of market participants anticipate the Commission granting an extension on the existing “no-action” relief. Therefore, a decision to allow the relief to expire in […] Read More
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Comment Letter: Industry Letter; 18th Amendment to LULD
We are writing in regards to the Commission’s ongoing efforts to improve the resiliency of the equity market. We represent a diverse cross-section of market participants who are committed to […] Read More
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Comment Letter: FINRA Continuing Education
The Security Traders Association (“STA”) appreciates the opportunity to offer comments on FINRA Regulatory Notice 18-26 (“Notice”) which seeks industry input on, “…enhancements to the Securities Industry Continuing Education Program […] Read More