Tag: MiFID II

Newsletter: STA

July 31, 2019

STA Conference First 15 Speakers and DC Meeting Recaps

FINRA holds July 2019 Board of Governors Meeting. FINRA CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provided updates from the meeting in a video report . Emily Westerberg […] Read More
Talking Points

March 18, 2019

Talking Points – March 2019

Discussion Document – March 2019 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 […] Read More
Newsletter: STA

February 28, 2019

STA Comment Letter

STA files letter with Senate Banking Committee on Capital Formation STA supports Title IX of S.488 (115 th Congress) and S.2347 (115 thCongress), which would expand testing-the-waters to all issuers, and would level […] Read More
Comment Letters

February 16, 2019

Comment Letter: SEC No-Action Letters; MiFID II

STA believes that a meaningful number of market participants anticipate the Commission granting an extension on the existing “no-action” relief. Therefore, a decision to allow the relief to expire in […] Read More
Newsletter: STA

March 30, 2017

MiFID II Regulations to Impact U.S. Asset Managers

by Ivy Schmerken Editorial-Director Flextrade North American broker-dealers and asset managers domiciled in the U.S. are watching their European counterparts gear up for compliance with MiFID II. But will MiFID […] Read More
Open Call

March 3, 2017

MiFID II: North American Manager & Broker Dealer

STA Open Call – March 2, 2017 – Call Notes1 MiFID II: North American Manager & Broker Dealer Presenter: Tom Conigliaro, IHSMarkit View full call report here (PDF)> Read More
Open Call

March 3, 2017

IHS Markit on MiFID II

The unbundling of research and execution requirements under MiFID II are less than a year away from being implemented. This event with its competitive and regulatory effects, is likely to […] Read More
Open Call

April 29, 2015

European Commission Decision on Unbundling the Payment for Research with Commissions

Special Presenter: Duncan Higgins, ITG Who are the parties involved on Unbundling Commissions in Europe? European Council & European Parliament European Commission, “EC” European Securities and Markets Authority, “ESMA” Financial […] Read More