Category: Comment Letters

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 for comment on FINRA’s Engagement Initiatives. STA’s diverse membership, as measured by geography and business models, and long history of interacting with FINRA and its…  Read more

Comment Letter: FINRA Safe Harbor on Desk Commentary

Dear Ms. Mitchell, The Security Traders Association (“STA”) [1]welcomes the opportunity to comment on proposed amendments to FINRA Rule 2241 (Research Analysts and Research Reports) and FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) to create a limited safe harbor for “specified brief, written analysis distributed to eligible institutional investors that comes from…  Read more

The Financial CHOICE Act

Dear Chairman Hensarling and Ranking Member Waters, The Security Traders Association (“STA”)1 appreciates the opportunity to comment on the “Financial CHOICE Act of 2017” (H.R. 10). STA’s comments will focus on the following… Read full comment letter (PDF)>

Order Routing Disclosures: Part II

The Security Traders Association (“STA”) appreciates the opportunity to offer additional comments on the Securities and Exchange Commission (“Commission” or “SEC”) proposed rule on Disclosure of Order Handling Information; File No. S7-14-16 (the “Proposal”). Read full comment letter (PDF)>

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. S7-14-16 (the “Proposal”). The Proposal seeks to amend Rules 600 and 606 of Regulation National Market System (“Regulation NMS”) under the Securities Exchange Act of…  Read more