Security Traders Association dictum meum pactum my word is my bond
To the Women of STA
by Sam Belden on February 12, 2020 at 7:54 pm
By Julie Andress KeyBanc Capital Markets & STA WIF Co-Chair Finding the proper balance on how we allocate our precious time can be overwhelming. For the vast majority of us, finding enough time for family, friends and career is challenging enough, but if you add community service to the equation, words like “impossible” and “sorry,… Read more The post To the Women of STA appeared first on Security Traders Association.
Partnerships: A Key to Success
by Sam Belden on February 7, 2020 at 5:14 pm
Most people in our industry will agree that finding the right partners is crucial to success. At their best, these relationships allow access to expertise that your firm may lack, open a world of new connections and lead to far better outcomes than would have been possible going it alone. The start of a new… Read more The post Partnerships: A Key to Success appeared first on Security Traders Association.
by Jim Toes on January 30, 2020 at 4:11 pm
Pocket Aces by Chris Halverson, CAPIS STA Chairman of the Board As a parent of two inquisitive kids, I’m asked a variety of questions every day. Given my limited bandwidth, the interrogation can be a bit much and I sometimes revert to cliché’ d responses. It’s just human nature. As a member of the Security Traders Association… Read more The post Pocket ACES appeared first on Security Traders Association.
Open Call – New Consolidated Market Data Plan
by Jim Toes on January 28, 2020 at 6:38 pm
STA Open Call – January 23, 2020 – Call Notes New Consolidated Market Data Plan (“Proposed Order”) Mike Masone, Citi Nat Evarts, SSGA Opening Remarks – Jim Toes, STA STA Comment Letter on Rule 15c2-11 STA commends the Commission for proposing amendments to modernize Rule 15c2-11 STA offers the following comments about certain aspects of… Read more The post Open Call – New Consolidated Market Data Plan appeared first on Security Traders Association.
STA Comment Letter on 15c2 -11
by Jim Toes on January 27, 2020 at 7:44 pm
We commend the Commission for proposing amendments to modernize Rule 15c2-11. As the Commission notes in the Proposal, the OTC securities market has undergone significant changes since Rule 15c2-11 was last amended in 1991. At that time, quotes in the OTC marketplace were published daily and other disclosures were limited. The OTC market is now… Read more The post STA Comment Letter on 15c2 -11 appeared first on Security Traders Association.
Talking Points – December 2019
by Jim Toes on January 21, 2020 at 11:34 pm
Who We Are The Security Traders Association, “STA” 1 is comprised of 24 affiliate organizations covering the US and Canada. The STA national board of governors is comprised of past presidents and industry specific leaders. Our membership represents INDIVIDUALS from varying business models – buy-side, sell-side, hedge funds, exchange traders and market makers- dealing in… Read more The post Talking Points – December 2019 appeared first on Security Traders Association.
The SEC's Meeting on Market Data
by Sam Belden on January 7, 2020 at 8:55 pm
Tomorrow, Jan. 8, the Securities and Exchange Commission will consider whether to issue for public comment a proposed order that “would require the SROs to propose a single, new NMS plan that would increase transparency and address inefficiencies, conflicts of interest and other issues presented by the current governance structure of the three NMS plans that govern… Read more The post The SEC's Meeting on Market Data appeared first on Security Traders Association.
College Student Home for the Holidays?
by Sam Belden on January 2, 2020 at 2:04 pm
New Year’s Eve usually marks the beginning of when parents start counting down the days until their college students return to school. While it’s wonderful to have them home for the holidays, a return to normalcy is something we start to crave after a few weeks of late evenings, extra laundry and things gone missing… Read more The post College Student Home for the Holidays? appeared first on Security Traders Association.
From the Hill and 2020 Events
by Sam Belden on December 31, 2019 at 2:20 pm
SEC Adopts Actions to Stand Up Security-Based Swap Regulatory Regime The Securities and Exchange Commission adopted a package of rule amendments, guidance, and a related order to expand and improve the framework for regulating cross-border security-based swaps, including single-name credit default swaps. SEC Announces Robert A. Marchman as Senior Policy Advisor on Diversity and Inclusion… Read more The post From the Hill and 2020 Events appeared first on Security Traders Association.
Would You Be Prepared?
by Sam Belden on December 3, 2019 at 9:44 pm
It’s an old Wall Street adage, a promotion comes one year later than expected and the loss of a job happens one year sooner. In our industry, like so many others, the timing between when you expect something to happen and when it actually does is often not in sync with those who make these… Read more The post Would You Be Prepared? appeared first on Security Traders Association.