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STANY and STA File Comments on SEC's Non-Public Liquidity Proposal Click here for STANY's Comment STANY_Comment_Dark_Pools_February_17_2010 Click here for STA's Comment STA Non-Public Displayed Liquidity FINAL
STANY and STA file comments to SEC's proposed amendments to Reg SHO See the line-up for Securities Lending and Short Sale Roundtable September 29th and 30th click here. See STANY's Letter in response to SEC's Supplemental Request for Comment STANY_Comment_Reg_Sho_9-21-09 See STA's Letter in response to SEC's Supplemental Request for Comment
Exchanges to Petition SEC for Sub-penny quoting STANY Comments on FINRA QCF STANY files letter with SEC opposing FINRA's proposal to create a Quotation Consolidation Facility STANY Comment FINRA QCF-Jan-13 2010 FINRA Proposal Riles OTC Market- for article click here. SEC Concept Release on Equity Market Structure SEC's Concept Release is now available online Click here. Comments are due on April 21, 2010. SEC Proposal on Dark Pools SEC's Dark Pool Proposal available click here. SEC Chairman's comments on Dark Pools click here. Commission Schapiro's comments on Dark Pools October 21, 2009 click here. The Commission voted to propose rules to curtail Dark Pool growth. Traders Magazine article click here. SEC's Dark Pool Fact Sheet October 21, 2009 click here. AFL-CIO, Dems push new Wall Street tax The AFL-CIO, one of the Democratic Party’s most powerful allies, would like to assess a small tax — about a tenth of a percent — on every stock transaction. Click here for story. SEC Proposes Ban on Flash Orders For the SEC Proposal click here. Comments are due on November 23, 2009. NASDAQ and BATS support ban on Flash Orders. For story click here. SEC Chairman Mary Schapiro's Statement before the Commission on Flash Orders September 17, 2009 click here. FINRA Proposes Extending Elements of Reg NMS to the OTC Market FINRA is proposing rules to: (1) restrict sub-penny quoting; (2) restrict locked and crossed markets; (3) implement a cap on access fees; and (4) require the display of customer limit orders in OTC equities. To read the full proposal click here. STANY's Comment Letter filed on September 16, 2009 is available. Click here.
What's New Exchanges to Petition SEC for Sub-penny pricing For story click here. January 26, 2009 House Financial Services Committee completed its markup of H.R. 3817 the Investor Protection Act of 2009- November 3, 2009. Notes 11_03_09 House FS - Investor protection act markup (2) (1) SEC Chairman Mary Schapiro's speech at SIFMA Conference- October 27, 2009 For speech " The Road to Investor Confidence" click here. SEC Publishes 2010-2015 Draft Strategic Plan for Public Comment- October 8, 2009 http://www.sec.gov/about/secstratplan1015.pdf Comments are due on November 16, 2009 SEC Proposes the Elimination of Flash Orders http://www.sec.gov/rules/proposed/2009/34-60684.pdf Comments are due on November 23, 2009 MUST READS (In our opinion) Speech by SEC Chairman: Mary L. Schapiro at IOSCO Technical Committee Conference- October 8, 2009 http://sec.gov/news/speech/2009/spch100809mls.htm Speech by FINRA Chairman & CEO, Rick Ketchum at Fordham University's Enhanced Regulation: Integrity in the Global Financial Markets- October 2, 2009 http://www.finra.org/Newsroom/Speeches/Ketchum/P120102
STA Opposes H.R. 1068 Transaction Tax http://www.securitytraders.org/Journal/sta-opposes-proposed-transaction-tax-share-your-view Support this Grass Roots Effort by Sharing your Views on Traders Advocate click here -Link to Track H.R. 1068- click here -See Traders Magazine's Article - Industry Fears Proposal in Congress Would Destroy High-Frequency Trading and Liquidity- click here -Watch CNBC Interview with Congressman DeFazio- click here to view -Watch STA's Response on Fox Business News- click here to view
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