Security Traders Association dictum meum pactum since 1934

  • Open Call Report – SEC FinHub Guidance on “Investment Contracts” & Digital Assets
    by Jim Toes on April 29, 2019 at 7:59 pm

    STA Open Call – April 25, 2019 Call Notes[ SEC FinHub Guidance on Digital Assets Kristin Boggiano, Chief Legal Officer, AlphaPoint Kapil Barthi, Global Head of Trading Markets, AlphaPoint to learn more about asset digitization visit www.alphapoint.com/STA Opening Remarks SEC Rule 606 – last night the SEC extended the required start date for firms to…  Read more The post Open Call Report – SEC FinHub Guidance on “Investment Contracts” & Digital Assets appeared first on Security Traders Association. […]

  • What would Denzel do?
    by Jim Toes on April 17, 2019 at 8:04 pm

    It’s a question often asked, “If Hollywood made a movie about your life, what actor or actress would you want to play you?” For me the answer is simple, Denzel Washington. An extraordinary actor with a cool disposition both on and off camera. Denzel doesn’t know this, but we share a common bond. We both…  Read more The post What would Denzel do? appeared first on Security Traders Association. […]

  • Comment Letter: Options Listing Procedures Plan
    by Jim Toes on April 9, 2019 at 3:39 pm

    The Security Traders Association (“STA”), feels it imperative to relay its view that the proliferation of series of options for quoting and trading (“strikes”, or “strike prices”) has overly complicated the options markets and necessitated excessive (and thus inefficient) consummations of technology. If left unabated, this condition may degrade market quality as measured by spreads;…  Read more The post Comment Letter: Options Listing Procedures Plan appeared first on Security Traders Association. […]

  • Excellence in Journalism
    by Jim Toes on April 9, 2019 at 2:54 pm

    Those of us in financial services know that we are a very unique group, and by unique I mean many of us exhibit the characteristics of your typical Type A personality. Whether at work or at home, we expect quality and precision. When it comes to the sources we use and rely on for information…  Read more The post Excellence in Journalism appeared first on Security Traders Association. […]

  • Paying Forward
    by Jim Toes on March 30, 2019 at 4:56 pm

    Last week, while most folks in the financial services industry were focused on their NCAA Basketball brackets, Quinnipiac University from Hamden, CT held the largest student-run financial conference in the world. Taking place in New York City, Quinnipiac’s Global Asset Management Education (G.A.M.E.) IX Forum attracted students from 160 universities, representing 54 countries and 48 states, and offered…  Read more The post Paying Forward appeared first on Security Traders Association. […]

  • Celebrating International Women’s Day
    by Jim Toes on March 29, 2019 at 4:38 pm

    As we celebrate the 110th International Women’s Day  it is both amazing and inspiring to reflect upon more than a century of achievements by women. Each generation has continued to improve its educational attainment during the course of a lifetime. Through that knowledge and the examples of female leaders, women of every passing generation have been able…  Read more The post Celebrating International Women’s Day appeared first on Security Traders Association. […]

  • Capital Formation: Same as it ever was?
    by Jim Toes on March 23, 2019 at 4:31 pm

    Yesterday was a good day for our markets for several reasons, none more so than the large amount of attention that capital formation garnered throughout the trading day. As CNBC’s Bob Pisani put it, “Wall Street is excited that a major part of the capital markets business is finally starting to function after a bitter…  Read more The post Capital Formation: Same as it ever was? appeared first on Security Traders Association. […]

  • Open Call Report – Rule 606
    by Jim Toes on March 18, 2019 at 8:21 pm

    STA Open Call – March 13, 2019 – Call Notes[1] Rule 606: Getting Closer Mark Davies, S3 Rule 606 Infographic LINK Opening Remarks – Jim Toes, STA STA Comment Letters Since the last Open Call, STA has filed three (3) comment letters on: SEC No-Action Letters on MiFID II, Senate Banking on Capital Formation and…  Read more The post Open Call Report – Rule 606 appeared first on Security Traders Association. […]

  • Talking Points – March 2019
    by Jim Toes on March 18, 2019 at 6:51 pm

    Discussion Document – March 2019 Who We Are STA is comprised of 24 affiliate organizations covering the entire 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…  Read more The post Talking Points – March 2019 appeared first on Security Traders Association. […]

  • We are all Trailblazers
    by Jim Toes on March 15, 2019 at 7:33 pm

    As we celebrate the 110th International Women’s Day  it is both amazing and inspiring to reflect upon more than a century of achievements by women. Each generation has continued to improve its educational attainment during the course of a lifetime. Through that knowledge and the examples of female leaders, women of every passing generation have been…  Read more The post We are all Trailblazers appeared first on Security Traders Association. […]