Category: STA in DC
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Order Routing Disclosures
The Security Traders Association (“STA”) appreciates the opportunity to offer comments on the Securities and Exchange Commission (“Commission” or “SEC”) proposed rule on Disclosure of Order Handling Information; File No. […] Read More
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STA Comment Letter on CAT
“The development of the Consolidated Audit Trail will represent an unprecedented opportunity to improve the Commission’s ability to surveil the market. It is critical to have an informed and detailed […] Read More
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Reg NMS Stock ATS; Tick Size Pilot; SEC EMSAC
STA Issues: -Proposed Rule: Regulation of NMS Stock Alternative Trading Systems -Implementation of Tick Size Pilot -SEC EMSAC expiration on two-year charter Read specific comments (PDF) > Read More
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Financial CHOICE Act of 2016
STA Letter to House Financial Services Committee on “Financial CHOICE Act of 2016” discussion draft – Jul 15 While STA does not have a view on the appropriate amount of […] Read More
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Financial CHOICE Act of 2016
The Security Traders Association (“STA”)1 appreciates the opportunity to comment on the “Financial CHOICE Act of 2016” discussion draft. STA’s comments will focus on section 404 of Financial CHOICE Act […] Read More
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SEC EMSAC Recommendations; Reg NMS; Trading Venues Regulation
STA Issues: Recommendations made by SEC Equity Market Structure Advisory Committee (“EMSAC”) Subcommittees at April 26, 2016 meeting: -Regulation NMS Subcommittee; Access Fee/Liquidity Rebates Pilot -Trading Venues Regulation Subcommittee; Changes […] Read More
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U.S. Department of Treasury April 28, 2016 Meeting Notes
On April 18, 2016 the Financial Stability and Oversight Council, (“FSOC” or “Council”) presented a report on their review of potential risks from asset management products and activities. The STA […] Read More
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NYSE Market Data Fees for Regulatory Purposes, File No. SR-NYSE-2016-19
The Security Traders Association (“STA”)1 offers comments on NYSE Market Data Fees for Regulatory Purposes, File No. SR-NYSE-2016-19 (the “Proposal”). The Proposal filed with the Securities and Exchange Commission (the […] Read More
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SEC Reg ATS Proposal, SEC EMSAC, FTT
STA Issues *SEC Release No. 34-767474; File No. S7-23-15; Regulation of NMS Stock Alternative Trading Systems (“SEC Reg ATS Proposal”) *SEC Equity Market Structure Advisory Committee, (“SEC EMSAC”) *Financial transaction […] Read More