Security Traders Association dictum meum pactum "my word is my bond"

  • STA Foundation Flashback: Tito Singh, Tegra118
    by Sam Belden on November 18, 2020 at 4:22 pm

    Throughout the years, the STA Foundation Awards have recognized those who have made notable and genuine contributions to the well-being of individuals within the financial services industry. Ahead of this year’s awards ceremony and panels on Dec. 1, we’re talking with past recipients to find out what the STA Foundation Awards mean to them. Today, we speak…  Read more The post STA Foundation Flashback: Tito Singh, Tegra118 appeared first on Security Traders Association.

  • STA Foundation Flashback: Peggy Bowie, Manulife Asset Management
    by Sam Belden on November 18, 2020 at 4:10 pm

    Throughout the years, the STA Foundation Awards have recognized those who have made notable and genuine contributions to the well-being of individuals within the financial services industry. Ahead of this year’s awards ceremony and panels on Dec. 1, we’re talking with past recipients to find out what the STA Foundation Awards mean to them. Today,…  Read more The post STA Foundation Flashback: Peggy Bowie, Manulife Asset Management appeared first on Security Traders Association.

  • Conference Stats, STA Foundation Awards and More
    by Sam Belden on October 29, 2020 at 3:18 pm

    Thank you to everyone who attendedSTA’s 2020 Market Structure Virtual Conference,especially our Speakers, Sponsors and Virtual Vendors. Registration & Engagement StatsRegistrants: 1,525 Industry ProfessionalsAttending Firms/Organizations: 296Countries: 15Average Views Per Panel: 551 Firm TypesBuyside – 67Broker Dealer – 59Principal Trading Firm – 18Exchanges – 16 See all stats The post Conference Stats, STA Foundation Awards and More appeared first on Security Traders Association.

  • 2020 Dictum Meum Pactum Award Recipient
    by Dawn Combs on October 22, 2020 at 4:04 pm

    On October 8, 2020, STA announced Tom Gira as the 2020 Dictum Meum Pactum Award recipient, posthumously. The award was accepted by FINRA President & CEO Robert Cook. Mr. Gira’s longstanding career in securities market regulation exemplified the ideals the DMP seeks to recognize. His service to the industry and the investors we serve will…  Read more The post 2020 Dictum Meum Pactum Award Recipient appeared first on Security Traders Association.

  • Debra Walton Keynote Address Announcement
    by Sam Belden on October 1, 2020 at 9:50 pm

    A Quarter of Women Are Considering Scaling Back CareersBloombergA quarter of women are considering leaving the workforce or scaling back on their career aspirations because of the extra demands created by the Covid-19 pandemic, according to the annual study of women in the workplace released Wednesday by McKinsey & Company and LeanIn.Org. Link Women Now…  Read more The post Debra Walton Keynote Address Announcement appeared first on Security Traders Association.

  • Form 13F Comment Letter and More
    by Sam Belden on October 1, 2020 at 4:17 pm

    SEC Trading & Markets Staff No Action LetterSEC Trading & Markets Division staff TM Division issued a No Action letter to FINRA discussing the role of an ATS in the settlement of digital asset securities. The relief addresses the unsuitability of the current non-custodial ATS model with the crossing of digital assets. CFTC Finalizes Rules to…  Read more The post Form 13F Comment Letter and More appeared first on Security Traders Association.

  • STA Files Comment Letter on Form 13F
    by Sam Belden on September 25, 2020 at 9:51 pm

    “STA acknowledges that the current reporting threshold presents burdens on certain small investment managers, but given the importance of the information from Form 13F we recommend that the Commission exercise extreme caution in raising the reporting threshold.  We believe a threshold which is materially lower than the proposed $3.5 billion AUM will more effectively balance the interests of…  Read more The post STA Files Comment Letter on Form 13F appeared first on Security Traders Association.

  • New Jersey’s FTT: Express Your Opposition
    by Sam Belden on September 16, 2020 at 8:45 pm

    As states across the nation face 2021 budget gaps due to the COVID 19 pandemic, New Jersey is pursuing a financial transaction tax (FTT) on trades done at “high quantity” processors in their state. While the details of a final bill have yet to unfold, Governor Murphy and New Jersey legislators are espousing attributes we…  Read more The post New Jersey’s FTT: Express Your Opposition appeared first on Security Traders Association.

  • Buy Side Incorporates Rule 606(b)(3)
    by Sam Belden on September 8, 2020 at 7:25 pm

    As of July 29, 2020, asset managers could begin requesting reports on the handling of not-held orders given to broker dealers. Under Rule 606(b)(3), reports for not-held orders must be provided within 7 days and the required information includes: Order Routing, including size and further routable instructions Order Execution, including volumes, fees, rebates, spread position Liquidity,…  Read more The post Buy Side Incorporates Rule 606(b)(3) appeared first on Security Traders Association.

  • Program Agenda Update & Open Call on Rule 606(b)(3)
    by Sam Belden on August 31, 2020 at 12:33 pm

    SEC Proposes Data Security Enhancements to the CAT NMS PlanThe Securities and Exchange Commission today proposed amendments to the national market system plan governing the Consolidated Audit Trail to bolster the Consolidated Audit Trail’s data security. While the CAT NMS Plan currently sets forth a number of requirements regarding the security and confidentiality of CAT data,…  Read more The post Program Agenda Update & Open Call on Rule 606(b)(3) appeared first on Security Traders Association.