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 preceding organizations offers a unique perspective on FINRA’s Engagement Initiatives which we hope will contribute favorably to any strategic decisions made by FINRA.