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  • Open Call Report – FINRA Cross Product Surveillance
    by Dawn Combs on July 12, 2018 at 10:30 pm

    Good evening and welcome to tonight’s STA Open Call titled FINRA’s Cross Product Surveillance of the Listed Options and Equity Markets. Tonight’s call is brought to you by the STA Foundation, a non-profit, 501 c 3 corporation that serves as STA’s educational arm. As we all know, FINRA does a tremendous amount of surveillance across…  Read more The post Open Call Report – FINRA Cross Product Surveillance appeared first on Security Traders Association. […]

  • Talking Points July 2018
    by Dawn Combs on July 12, 2018 at 9:03 pm

    STA discussion document with congressional staff on: Regulation of NMS Stock Alternative Trading Systems and Disclosure of Order Handling Information. Regulation of NMS Stock Alternative Trading Systems; File No. S7- 23-15 (“Reg ATS-N”) STA wants to assist the Commission in the implementation of any final amendments to Reg ATS and we are seeking an update…  Read more The post Talking Points July 2018 appeared first on Security Traders Association. […]

  • Conference Program
    by Jim Toes on July 11, 2018 at 4:37 pm

      Program Glance (program and times subject to change) Wednesday, October 3 9:00AM – 11:00AM……………..Affiliate Visits to Capitol Hill 11:00AM – 12:30PM…..STA Women in Finance Symposium (sponsored by Thomson Reuters) 12:30PM – 1:45PM…Welcome Lunch (sponsored by Mizuho) 1:45PM – 2:00PM …………………………………Opening Remarks 2:00PM – 4:30PM………………..……………General Session 4:30PM –  6:00PM…Opening Reception (sponsored by UBS) 6:00PM……………………….………………… Free…  Read more The post Conference Program appeared first on Security Traders Association. […]

  • Happy Canada Day & July 4th!
    by Jim Toes on June 29, 2018 at 6:43 pm

    STA Open Call brought to you by Virtu Listed Options & Equities; Cross Market Surveillance Please join us as we learn about FINRA’s most up-to-date cross market surveillance in the listed options and equity markets and what firms should be considering in their internal surveillance. presenter Gene DeMaio Senior Vice President FINRA, Market Regulation July…  Read more The post Happy Canada Day & July 4th! appeared first on Security Traders Association. […]

  • Is Blockchain one word or two?
    by Jim Toes on June 26, 2018 at 6:13 pm

    Over the coming weeks STA will be developing the program for its 85th Annual Market Structure Conference in Washington DC. More than 50 industry professionals will participate as speakers, moderators or panelists. If past performance is any indication of future outcomes then conversations like this will be taking place: “Hello Joe, would you like to be…  Read more The post Is Blockchain one word or two? appeared first on Security Traders Association. […]

  • SEC Access Fee Pilot; Where’s your letter?
    by Jim Toes on June 19, 2018 at 12:59 pm

    A core strength of our rulemaking process is the request for comment stage, which offers industry participants the opportunity to express opinions to regulators and also to have visibility into the opinions of others. The transparent and publicly available nature of this stage provides invaluable information for decision makers and produces well vetted outcomes with…  Read more The post SEC Access Fee Pilot; Where’s your letter? appeared first on Security Traders Association. […]

  • 85th Annual Market Structure Conference: Shaping the Future
    by Jim Toes on May 31, 2018 at 3:30 pm

    Mike Rask, Hodges Capital & STA Chairman Shaping the Future. We chose this as the 2018 Market Structure Conference title because we felt it captured the industry’s proactive response to changes in market structure brought on by technology and a regulatory regime that has shifted in the aftermath of the 2016 Presidential Election. Technology and regulation…  Read more The post 85th Annual Market Structure Conference: Shaping the Future appeared first on Security Traders Association. […]

  • Comment Letter: Proposed Access Fee Pilot
    by Jim Toes on May 31, 2018 at 1:44 pm

    Dear Mr. Fields: STA welcomes the opportunity to offer comment on the Securities and Exchange Commission’s (“SEC” or the “Commission”) proposed Transaction Fee Pilot for NMS Securities (“Pilot”). As the Commission states in the summary of the proposed rule: The purpose of the Pilot is to study the effects that transaction-based fees and rebates may…  Read more The post Comment Letter: Proposed Access Fee Pilot appeared first on Security Traders Association. […]

  • Mom was right, they are our nation’s best
    by Jim Toes on May 27, 2018 at 4:02 pm

    by Jim Toes Tomorrow is Memorial Day, a day of reflection and honoring those who paid the ultimate price to protect our nation and way of life. As we remember those who served so honorably our thoughts will undoubtedly wander across a range of images and events. For me, Memorial Day will always bring recollection of…  Read more The post Mom was right, they are our nation’s best appeared first on Security Traders Association. […]

  • Market Structure Events: Early predictions on 2018’s Top 5
    by Jim Toes on May 21, 2018 at 1:21 pm

    Market Structure Events: An early prediction on 2018’s Top 5 by Jim Toes Earlier this month the Securities and Exchange Commission (SEC) released its semi-annual regulatory agenda listing its priorities at the proposed rule stage, final rule stage and long-term priorities. Besides being evident on the wide range of responsibilities our industry’s chief regulator has…  Read more The post Market Structure Events: Early predictions on 2018’s Top 5 appeared first on Security Traders Association. […]