Tags: DC

Thank you

by Jim Toes

Last week the STA traveled to Washington D.C. for a handful of meetings at the SEC, FINRA and House Staff. In some ways it was a very typical trip for us, discussing issues we have been engaged in. The difference however this time was the level of confidence we carried with us.

Confidence which came from those of you who took the time to fill out the survey we used in preparing for what we originally thought would be routine visit. Your feedback was strong, articulate and most of all passionate. Our industry is filled with intelligent, hardworking people who care. Sloth is not in our DNA. We did our best to carry your input and passion with us and hope we were effective vehicles of communication. I will end this month’s letter here, so as to allow you more time to read the comments by your peers. Thank you, for your support and on behalf of the entire STA Board of Governors, we wish you all a happy and safe summer.

Survey Results >

Read full July Newsletter here >

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 the TAF for proprietary firms
*U.S. Venture Exchange; U.S. Venture Markets and TSX Venture Exchange

Read specific comments (PDF)>

The Need for Proactivity:Remarks at the 2015 National Association of Women Lawyers Annual Meeting and Awards Luncheon

Chair Mary Jo White

Thank you, Marsha, for your very kind words. It is a pleasure to be here today to receive this honor from NAWL in the name of Arabella “Belle” Babb Mansfield, the very first woman admitted to any state bar in the United States. It is extraordinarily special and humbling, as is joining the illustrious company of your prior recipients of this award and your other honorees today.

Read full speech >