Security Traders Association dictum meum pactum since 1934

  • 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.

  • Giving Thanks to Our Colleagues and ETF Rule Open Call Report
    by Sam Belden on November 30, 2019 at 2:22 pm

    SEC Announces Extension of Temporary Measure to Facilitate Cross-Border Implementation of the European Union’s MiFID II’s Research Provisions Today the staff of the U.S. Securities and Exchange Commission issued an extension of an Oct. 26, 2017 no-action letter it provided to assist market participants regarding their U.S.-regulated activities as they engage in efforts to comply…  Read more The post Giving Thanks to Our Colleagues and ETF Rule Open Call Report appeared first on Security Traders Association.

  • Giving Thanks to Our Colleagues
    by Sam Belden on November 25, 2019 at 9:23 pm

    By Julie AndressKeyBanc Capital Markets and STA WIF Co-Chair For those of us in the U.S., on Thursday we will celebrate Thanksgiving. This is traditionally a day spent in the company of family and friends giving thanks and expressing sincere appreciation for the support and love we provide each other. Yes, Thanksgiving is a wonderful…  Read more The post Giving Thanks to Our Colleagues appeared first on Security Traders Association.

  • Open Call Report — The ETF Rule
    by Sam Belden on November 11, 2019 at 8:45 pm

    STA Open Call – November 4, 2019 – Call Notes* The ETF Rule Eric Pollackov, Head of Global ETF Capital Markets, Invesco Opening Remarks & Material– Jim Toes, STA STA Comment Letter on Asymmetric Delays, “Speed Bumps” LINK SEC Chairman Clayton Oct 17th Statement on Thinly Traded Securities LINK The Commission’s interest for industry input…  Read more The post Open Call Report — The ETF Rule appeared first on Security Traders Association.

  • The Real Value of STA & Conference Photos
    by Sam Belden on October 31, 2019 at 1:25 pm

    SEC Issues Statement on Market Structure Innovation for Thinly Traded Securities The Securities and Exchange Commission today issued a statement that invites exchanges and other market participants to submit innovative proposals designed to improve the secondary market structure for exchange listed equity securities that trade in lower volumes, commonly referred to as “thinly traded securities.”…  Read more The post The Real Value of STA & Conference Photos appeared first on Security Traders Association.

  • The Importance of Congressional Hearings
    by Jim Toes on October 28, 2019 at 6:51 pm

    Earlier this month, the House Financial Services Committee’s Subcommittee on Diversity and Inclusion held a hearing entitled “Examining the Need for Diversity Practices for America’s Changing Workforce”. The hearing focused solely on retention and promotion of diverse talent within US companies. As Chairwoman Joyce Beatty noted, US companies cannot just focus on recruitment, but rather…  Read more The post The Importance of Congressional Hearings appeared first on Security Traders Association.