Category: STA in DC
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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
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Comment Letter: Tick Size Pilot
The Security Traders Association, (“STA”) offers comments on the Tick Size Pilot Program (“Pilot”, or “Plan”). STA’s comments on issues related to market structure come from our roles as practitioners […] Read More
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Talking Points July 2018
STA discussion document with congressional staff on: Regulation of NMS Stock Alternative Trading Systems and Disclosure of Order Handling Information. Regulation of NMS Stock Alternative Trading Systems; File No. S7- […] Read More
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Comment Letter: Proposed Access Fee Pilot
Dear Mr. Fields: STA welcomes the opportunity to offer comment on the Securities and Exchange Commission’s (“SEC” or the “Commission”) proposed Transaction Fee Pilot for NMS Securities (“Pilot”). As the […] Read More
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Discussion Document – Q1′ 2018
Discussion Document – May 2018 Who We Are STA is comprised of 24 affiliate organizations covering the entire US and Canada. The STA national board of governors is comprised […] Read More
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Comment Letter: Rule 5250
Dear Ms. Mitchell: The Security Traders Association, (“STA”) welcomes the opportunity to offer comment on FINRA Retrospective Rule Review on the Effectiveness and Efficiency of Its Payment for Market Making […] Read More
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Talking Points – December 2017
STA discussion document with congressional staff for the month of December on: Consolidated Audit Trail; ETPs and Tick Size Pilot Specific Comments: Consolidated Audit Trail – Recommendation for a Revised […] Read More
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Talking Points – October 2017
STA discussion document with congressional staff on: Consolidated Audit Trail; US Treasury Report and ETPs Specific Comments: Consolidated Audit Trail – Recommendation for a Revised Implementation Plan STA delivered a […] Read More