Security Traders Association dictum meum pactum since 1934

  • Reflections from 2018
    by Jim Toes on January 11, 2019 at 9:56 pm

    by Mike Rask, Hodges Capital & STA 2018 Chairman Shortly after starting in this business, I recall a conversation with a long-time industry veteran who stated that “the financial services industry is constantly changing and evolving” and further, “try to understand what these changes mean and stay relevant.”  For perspective, at the time of this…  Read more The post Reflections from 2018 appeared first on Security Traders Association. […]

  • Dallas STA 2018 Texas Traders Convention
    by Jim Toes on December 31, 2018 at 3:14 pm

    Dallas STA 2018 Texas Traders Convention- The Four Seasons Resort at Las Colinas here The post Dallas STA 2018 Texas Traders Convention appeared first on Security Traders Association. […]

  • Happy New Year
    by Jim Toes on December 31, 2018 at 2:17 pm

    Happy New Year “I like the dreams of the future better than the history of the past” -Thomas Jefferson On behalf of the STA Board of Governors and the 245 individuals serving on STA Affiliate Boards we wish you and your families a happy and healthy 2019.   From the Hill brought to you by…  Read more The post Happy New Year appeared first on Security Traders Association. […]

  • What if George Bailey Owned a Broker-Dealer Instead?
    by Jim Toes on December 27, 2018 at 9:29 pm

    Once again, Christmas Eve at my house was spent watching It’s a Wonderful Life, with Jimmy Stewart playing George Bailey, a steadfast pillar in his hometown who also owns a building and loan company that bears his family name. In all the years of watching, Good Ol’ George always inspired thoughts associated with valuable life lessons…  Read more The post What if George Bailey Owned a Broker-Dealer Instead? appeared first on Security Traders Association. […]

  • STAC Women’s Collective Event
    by Jim Toes on December 27, 2018 at 6:10 pm

      Join the STAC Women’s Collective over breakfast for an inspiring session presented by featured speaker Wendie Lloyd details here   Living fearless doesn’t mean you never experience fear: it means you embrace fear and let it become energy to propel you forward. We will discuss aspects of being a fearless female including being connected…  Read more The post STAC Women’s Collective Event appeared first on Security Traders Association. […]

  • Open Call Report – Implementation of Amendments to Rule 606
    by Jim Toes on December 19, 2018 at 3:19 pm

    STA Open Call – December 11, 2018 – Call Notes[1] Implementation of Amendments to Rules 605 & 606 Chris Bok, FIF & Son-Mi Lee, FIF John Roeser, Associate Director, SEC Division of Trading & Markets Ted Venuti, Assistant Director, SEC Division of Trading & Markets   Opening Remarks – Jim Toes, STA Senate Banking Oversight…  Read more The post Open Call Report – Implementation of Amendments to Rule 606 appeared first on Security Traders Association. […]

  • Safeguarding Data & Trust
    by Jim Toes on December 14, 2018 at 2:50 pm

    In 2018, despite all efforts to do otherwise, I hit new lows in protecting my personal data. I started out the year by spitting into a tube only to discover what I already know: I am 75% Irish. Over the summer, I gave my fingerprints to CLEAR so I could “move at the speed of…  Read more The post Safeguarding Data & Trust appeared first on Security Traders Association. […]

  • Open Call Report – Securities Lending; A $10b Revenue Line
    by Jim Toes on December 7, 2018 at 3:12 pm

    STA Open Call – December 4, 2018 – Call Notes[1] Securities Lending: A $10 Billion Revenue Line Presenter: Bob Levy, Hanweck Presentation HERE   Opening Remarks – Jim Toes, STA Mid-term election results & possible outcomes Senate – Republicans pick up two seats and now hold a 53 to 47 majority. This should enable President…  Read more The post Open Call Report – Securities Lending; A $10b Revenue Line appeared first on Security Traders Association. […]

  • Take the Time
    by Jim Toes on December 1, 2018 at 2:12 am

    Take the Time by Jim Toes   In 2018, more than 160 firms sponsored at least one (1) STA Affiliate conference. While each firm had their own reason for doing so, all shared the commonality of taking the time to understand the value sponsorship could bring to their firm. As these firms plan their 2019…  Read more The post Take the Time appeared first on Security Traders Association. […]

  • Mid Term Election Results & STAC Women Collective Coffee
    by Jim Toes on November 26, 2018 at 5:55 pm

    Articles of Interest Sweeter Bonuses for Women This Year as Wall Street Confronts Gap by Sonali Basak, Bloomberg Wall Street leaders are facing heavier pressure this year to make their workplaces more attractive to women with better pay and faster promotions. That’s going to be top of mind as managers set bonuses in coming weeks.…  Read more The post Mid Term Election Results & STAC Women Collective Coffee appeared first on Security Traders Association. […]