STA Goes to Washington

The STA’s sole objective is to ensure that the U.S. securities markets are the most efficient and liquid in the world.

STA continues to work with regulators and policy makers on such issues as; Large Trader Reporting, Consolidated Audit Trail, Limit Up/Limit Down and Capital Formation. While conference calls and emails are an effective way to communicate they pale in comparison with face-to-face meetings with the individuals who are the actual decision makers.

STA maintains a direct relationship with the regulatory agencies. For policy making members on the Hill, STA has partnered with Williams & Jensen to make sure our voice is heard.

Below is a list of our 2012 visits to Washington DC which illustrate our efforts to protect and serve our financial markets.

Jim Toes, President and CEO

 

Recent Visits.

 

January 31 – Staff at Senate Banking and House Financial Services Committees. SEC Trading & Markets. FINRA. (See Talking Points)

October 24 – SEC Commissioner Walter’s Staff. Re: “Tick Study/JOBS Act” & “CAT”  (See Talking Points)

October 24 – SEC Office of Economic Analysis. Re: “Tick Study/JOBS Act” (See Talking Points)

September 19 – SEC Trading & Markets Re: “Tick Study/JOBS Act” (See Talking Points)

June 20 – STA participates on Congressional Subcommittee Market Structure Hearings.  (See STA Testimony 6-20-2012)

June 13 – SEC Trading & Markets Re: Limit Up/Limit Down (See Talking Points)

April 26 – Sen. Jack Reed (D-RI)

April 16 – SEC Commissioner Daniel Gallagher, Robert Cook, SEC Trading & Markets

March 29 – Rep. Randy Neugebauer (R-TX), Rick Ketchum, FINRA

February 29 –SEC Commissioners Luis Aguilar and Elise Walter, Robert Cook, SEC Trading & Markets,

February 28 – Visits to the Hill. (See Talking Points)

    • Rep. Mike Fitzpatrick (R-PA)
    • Rep. David Schweikert (R-AZ)
    • Rep. Scott Garrett (R-NJ)
    • Rep. Bill Posey (R-FL)
    • Sen. Mike Crapo (R-ID)

February 8 – SEC Commissioner Dan Gallagher, Robert Cook, SEC Trading & Markets

February 1 – Rep. Jeb Hersarling (R-TX)

January 27 – Robert Cook, SEC Trading & Markets

January 12/13 – David Shillman, SEC Trading & Market, Staff for Commissioner Troy Paredes