Tag: Rule 606
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Episode 1: Transparency; Conflicts of Interest and Best Execution
In Episode 1, we sat down with Joe Wald, Managing Director of Clearpool Group , to discuss issues around transparency and conflicts of interest involved with order routing decisions. Concerns about conflicts […] Read More
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Open Call – Implementation of Rule 606
STA Open Call – February 26, 2020 Rule 606 Implementation Chris Bok, FIF & Jim Toes, STA Reference Material[1] STA Comment Letter on Rule 15c2-11 STA commends the Commission for […] Read More
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Comment Letter: FIF and STA Comments on Amended SEC Rule 606
While much progress has been made with respect to the industry’s implied understanding of the scope and breadth of data that the SEC Staff expects to be reported pursuant to […] Read More
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Open Call Report – Rule 606
STA Open Call – March 13, 2019 – Call Notes[1] Rule 606: Getting Closer Mark Davies, S3 Rule 606 Infographic LINK Opening Remarks – Jim Toes, STA STA Comment Letters […] 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
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Open Call Report – Implementation of Amendments to Rule 606
STA Open Call – December 11, 2018 – Call Notes[1] Implementation of Amendments to Rules 605 & 606 Chris Bok, FIF & Son-Mi Lee, FIF John Roeser, Associate Director, SEC […] Read More
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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 […] Read More