Tag: SEC

Trading Views Podcast

September 19, 2020

Episode 4: A View After the Commission

In Episode 4, we sat down with former SEC Commissioner Troy Paredes of Paredes Strategies LLC. We covered AI, recent developments at the SEC, insights on how to track those issues […] Read More
Open Call

April 29, 2019

Open Call Report – SEC FinHub Guidance on “Investment Contracts” & Digital Assets

STA Open Call – April 25, 2019 Call Notes[ SEC FinHub Guidance on Digital Assets Kristin Boggiano, Chief Legal Officer, AlphaPoint Kapil Barthi, Global Head of Trading Markets, AlphaPoint to […] Read More
Open Call

April 24, 2018

Open Call Report – SEC Roundtable on Thinly Traded Securities

Good evening and welcome to tonight’s Open Call on the SEC Roundtable on Thinly Traded Securities and an update on the SEC Transaction fee pilot, aka the Access fee pilot. […] Read More
CEO’s Desk, Newsletter: STA

July 28, 2017

SEC Chairman Jay Clayton: Standing Man

One of the more memorable scenes in the popular Tom Hank’s movie, Bridge of Spies is when captured Russian spy Abel Rylance describes how Hank’s conduct reminds him of an […] Read More
CEO’s Desk

January 12, 2017

An SEC Chairman Like Jay Clayton

There are few more important or influential roles in the financial markets than that of U.S. Securities and Exchange Commission (SEC) Chairman. The person who assumes this responsibility is charged […] Read More
Open Call

August 30, 2016

SEC Proposed Amendments on Order Routing Disclosures Part II – RETAIL

At a July 13, open meeting the Securities and Exchange Commission (SEC) voted unanimously “to propose amendments to Rules 600 and 606 of Regulation NMS to require new disclosures by […] Read More
Open Call

August 18, 2016

SEC Order Handling Disclosure Proposal – Part I – Overview

STA has made multiple trips to Washington DC over the summer using two (2) sets of Talking Points: -Talking Points July 13, 2016 -Talking Points June 15, 2016 Approval of […] Read More
CEO’s Desk, Newsletter: STA

May 2, 2016

“Clear-Eyes” by SEC Chair Mary Jo White

At last week’s SEC Equity Market Structure Advisory Committee (EMSAC), Chair White ended her opening remarks with a statement that has become a hallmark on her approach in effecting regulatory […] Read More
Open Call

March 16, 2016

Venture Markets & Senate Hearing on SEC Nominees

On March 16th, the STA hosted an Open Call on venture markets and the Main Street Growth Act (H.R. 4638) which would allow for the creation of venture exchanges. All […] Read More
Open Call

March 4, 2016

Senate Banking Hearing on US Equity Market Structure

On March 3rd, the Senate Banking, Housing, and Urban Affairs Subcommittee on Securities, Insurance, and Investment conducted an open hearing on US Equity Market Structure titled: “Regulatory Reforms to Improve […] Read More