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FEATURE ARTICLE

The Importance of Dialogue

by Troy Paredes*

"Different market participants are differently situated. They have different roles, responsibilities, business models, interests, and experiences that cause them to have different takes. The range of perspectives is illustrated by the different - sometimes complementary, sometimes competing - recommendations that have been offered recently for improving our markets."

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NEWS FROM THE HILL

Senate Banking Letter to SEC - Nov 3

EDGAR filings

Senate Banking Committee Chairman Tim Johnson (D-SD) and Ranking Member Mike Crapo (R-ID) sent a letter to U.S. Securities and Exchange Commission (SEC) Chair Mary Jo White to express concern over reports that company filings electronically submitted to the SEC are made available to private subscribers before the general public. "Ensuring a fair marketplace is one of the SEC's most important objectives," said Johnson. "I urge the SEC to quickly investigate this timing disparity for company filings and take the necessary steps to eliminate it."

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SEC Tick Pilot Plan Published - Nov 3

45 day comment period to begin shortly

Published plan is "exactly as prepared and submitted by the Participants" in addition to questions raised by SEC Staff (pages 25 to 39). Full Plan Announcement here.

Reports by Williams & Jensen, PLLC

Washington Update - Oct 30

...the prospect for addressing tax extenders remains uncertain. Over the past several weeks, Republicans have held their position on their desire to make some of the measures permanent.

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UPCOMING EVENTS

Denver STA

44th Annual Convention

Dec 5-7, 2014

The STA Events calendar keeps you informed on both national and local STA events. Join other security trading professionals to connect, learn and be inspired by the wide variety of panel discussions, keynote speakers, exhibitors and networking opportunities.

Brought to you by Jefferies.

STA EVENTS CALENDAR