Category: STA in DC
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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
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Comment Letter: CAT NMS Implementation Plan
The Security Traders Association (“STA”) appreciates the opportunity to offer comments to the Thesys CAT, LLC and the Operating Committee on the DRAFT CAT Reporting Technical Specifications for Industry Members […] Read More
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Talking Points – September 2017
STA discussion document with congressional staff on: Access Fees & Maker/Taker Models; Disclosure-Order Handling Information; Reg NMS Plans and Market Data. Access Fees & Maker/Taker modelsAccess fees and corresponding liquidity […] Read More
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Talking Points – September 2017
Access Fees & Maker/Taker models Access fees and corresponding liquidity rebates (or “maker/taker” models) have evolved and are now deeply engrained in the current market structure. STA believes that a […] Read More
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Comment Letter: FINRA Engagement Initiative
Dear Ms. Mitchell: STA welcomes the opportunity to offer comment on FINRA Special Notice (the “Notice”) Engagement Initiative. We greatly respect and appreciate FINRA’s 360 Review, in particular this request […] Read More