Tag: Rule 15c2-11
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Episode 2: The Road to Modernize the Over-the-Counter Market
In Episode 2, we brought together Jacob Rappaport, Managing Director and Head of Global Equities at StoneX Group (formerly INTL FCStone) and Dan Zinn, General Counsel and Corporate Secretary for OTC Markets where […] Read More
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Open Call – Road to Modernize the Over-the-Counter Market
STA Open Call — April 29, 2020 Road to Modernize the Over-the-Counter Market Jacob Rappaport, INTL FCStoneDan Zinn, OTC Markets Executive Summary In September 2019, the SEC announced proposed amendments […] Read More
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STA Comment Letter on 15c2 -11
We commend the Commission for proposing amendments to modernize Rule 15c2-11. As the Commission notes in the Proposal, the OTC securities market has undergone significant changes since Rule 15c2-11 was […] Read More
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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