Category: STA in DC
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SEC Proposed Amendments to Regulation ATS
The Security Traders Association (“STA”)1 appreciates the opportunity to comment on the Securities and Exchange Commission (“Commission”) proposed amendments to the regulatory requirements in Regulation ATS under the Securities Exchange […] Read More
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Reg NMS Stock ATS; Dually listed securities
STA Issues *SEC Release No. 34-767474; File No. S7-23-15; Regulation of NMS Stock Alternative Trading Systems (“Proposal”) *Request to NMS Plan Participants to exclude Canadian dually listed securities from Tick […] Read More
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Tick Size Pilot Data Collection, FIF on FINRA’s Tick Size Pilot rule filings
STA Issues *SEC Release No. 34-767474; File No. S7-23-15; Regulation of NMS Stock Alternative Trading Systems (“Proposal”) *FIF comment letters to Mr. Robert Errett, dated December 16, 2015 on FINRA’s […] Read More
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Tick Pilot Data Collection, SEC EMSAC, Venture Exchanges, FTT
STA Issues *Implementation of Tick Size Pilot; Data Reporting Requirements *SEC Equity Market Structure Advisory Committee *U.S. Venture Exchange; U.S. Venture Markets and TSX Venture Exchange *Financial tax reform/Financial transaction […] Read More
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Tick Pilot, Data Reporting, EMSAC, TAF and Venture Exchange
STA Issues *Implementation of Tick Size Pilot; Data Reporting Requirements *SEC Equity Market Structure Advisory Committee *SEC filing to amend Rule 15b9-1 and FINRA Regulatory Notice 15-13; Proposed exemptions to […] Read More
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Venture Exchanges, IIROC Anti Avoidance Rule – March 23, 2015
STA Issues: *Cross border issues with US and Canadian regulators *Venture Exchanges; A broker dealer perspective on TMX Venture Exchange *FSOC Notice Seeking Comment on Asset Management Product & Activities […] Read More
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FINRA Proposed Exemptions to the TAF for Proprietary Trading Firms
The Security Traders Association (“STA”) is pleased to offer comment on FINRA Regulatory Notice 15-13 which proposes exemptions to the TAF for proprietary trading firms. The STA is comprised of […] Read More
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Securities & Exchange Advisory Committee on Small & Emerging Companies
The Security Traders Association (“STA”) wishes to offer comment on the agenda item: “Committee Discussion of Venture Exchanges and Secondary Market Trading Issues” discussed at March 4, 2015, meeting of […] Read More
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FSOC Asset Management Products and Activities
The Security Traders Association (“STA”) is pleased to offer comments on the Financial Stability Oversight Council (the “Council”) notice “seeking public comment on aspects of the asset management industry in […] Read More
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Talking Points – Shareholder ID; SEC EMSAC; FSOC Notice on Asset Management Products & Activities
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 past presidents and industry specific […] Read More