MiFID II – Are you Ready?
May02

MiFID II – Are you Ready?

MiFID II – Are you Ready? Join us for an afternoon with Tom Conigliaro, head of Brokerage and Research Services at IHS Markit, reveals the impact of MiFID II regulations around paying for research and what firms should be doing now to make sure they comply. Thursday, June 1st 3:30 Reception 4:15  Presentation Cocktails to follow the presentation Los Angeles Athletic Club 431 W. 7th St. Los Angeles 90014 Please use complimentary...

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SEC to Take Charge of the Fiduciary Rule
Apr24

SEC to Take Charge of the Fiduciary Rule

(Washington) The back and forth over the fiduciary rule has been agonizing, but new comments from the SEC have just arrived like an earthquake. Almost two months ago the SEC’s chairman, Michael Piwowar, heavily criticized the DOL’s fiduciary rule, but on Friday he formally said that the SEC should be the one drafting rules over conflicts of interest and said he wanted to do so. Piwowar said the DOL’s rule wasn’t written to protect...

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A Note from the STALA President
Mar31

A Note from the STALA President

  We were once again blessed with great weather in the beautiful setting of the La Quinta Resort for the 82nd Annual STALA Conference.   We hope that all of you took advantage of the weekend to network, enjoy the surroundings, and maybe even relax a little!  Charlie Gasparino was excellent Saturday night, providing his unique insight to Wall Street and the world of politics and business, and his candid Q/A session was both...

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Charles Gasparino, FOX Business Network, Keynote Speaker at STALA Conference
Mar07

Charles Gasparino, FOX Business Network, Keynote Speaker at STALA Conference

We are pleased to announce our keynote speaker for our conference, Charles Gasparino of FOX Business Network Charles Gasparino joined FOX Business Network (FBN) in February 2010 as Senior Correspondent. Gasparino provides on-air reporting throughout the business day for the network, covering the latest news from the financial world. Prior to joining FBN, Gasparino was an on-air editor for CNBC where he was responsible for breaking...

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Speaker Series – Eric Noll, President and Chief Executive Officer, Convergex Group
Jan27

Speaker Series – Eric Noll, President and Chief Executive Officer, Convergex Group

 Another Successful STALA Speaker Series Event Another great night for the STALA Speaker Series.  Eric Noll, CEO and President of Convergex spoke to a group of approximately 40 financial industry professionals on a wide range of topics from DOL, The Tick Pilot Program and market structure.  The Q/A that followed was engaging and just as informative!  The Tick Pilot report was a few weeks back.  The DOL was front page news last week. ...

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