Security Traders Association dictum meum pactum since 1934

  • 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. […]

  • Open Call Report – Access Fee Pilot – Buy Side
    by Jim Toes on May 15, 2018 at 2:37 pm

    Good evening and welcome to tonight’s Open Call on the SEC’s Access Fee Pilot  and items of specific interest for asset managers. Tonight’s call is brought to you by the STA Foundation a 501 c 3 corporation that serves as STA’s educational arm.  At a March 14, open meeting the Securities and Exchange Commission (SEC)…  Read more The post Open Call Report – Access Fee Pilot – Buy Side appeared first on Security Traders Association. […]

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