Industry News (STA)

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Security Traders Association dictum meum pactum since 1934

  • SEC Chairman Jay Clayton: Standing Man
    by james@monroeand.co on August 2, 2017 at 10:05 pm

    by Jim Toes One of the more memorable scenes in the popular Tom Hank’s movie, Bridge of Spies is when captured Russian spy Abel Rylance describes how Hank’s conduct reminds him of an old neighbor.  A neighbor with a strong and humble character which he described as “stoikiy muzhik” or roughly translated, he was a Standing…  Read more The post SEC Chairman Jay Clayton: Standing Man appeared first on Security Traders Association. […]

  • STA Comment Letter on Lapsed Licenses
    by james@monroeand.co on August 2, 2017 at 10:02 pm

    Newsletter No.30 STA recently filed a comment letter that included a recommendation on an issue that acutely impacts women in finance: lapsed licenses. According to FINRA regulations, a Series 7 license expires after an employment lapse of two years. While STA did not comment on whether two years is too long or too short a…  Read more The post STA Comment Letter on Lapsed Licenses appeared first on Security Traders Association. […]

  • STA’s 2017 dictum meum pactum Award Recipient
    by james@monroeand.co on August 2, 2017 at 9:55 pm

    STA is pleased to announce Andy Brooks as the 2017 Dictum Meum Pactum award recipient. Over the course of his 37-year career, Andy has exemplified the ideals the DMP seeks to recognize. His service to the securities industry and the investors we serve is something we should all aspire to emulate. Presentation will occur at…  Read more The post STA’s 2017 dictum meum pactum Award Recipient appeared first on Security Traders Association. […]

  • Bill Huizenga (R-MI) to present at STA Conference.
    by james@monroeand.co on June 29, 2017 at 8:17 pm

    We’re pleased to announce that Congressman Bill Huizenga (R-MI) Chairman, House Financial Services Subcommittee on Capital Markets will be presenting on the Thursday, September 14th date of STA’s 84th Annual Market Structure Conference. Read full newsletter here > The post Bill Huizenga (R-MI) to present at STA Conference. appeared first on Security Traders Association. […]

  • Special Notice: FINRA Engagement Initiative
    by james@monroeand.co on June 21, 2017 at 8:11 pm

    Dear Ms. Mitchell: STA1 welcomes the opportunity to offer comment on FINRA Special Notice (the “Notice”) Engagement Initiative. We greatly respect and appreciate FINRA’s 360 Review, in particular this request for comment on FINRA’s Engagement Initiatives. STA’s diverse membership, as measured by geography and business models, and long history of interacting with FINRA and its…  Read more The post Special Notice: FINRA Engagement Initiative appeared first on Security Traders Association. […]

  • To the Class of 2017: Loyalty, be open to feeling it.
    by james@monroeand.co on June 12, 2017 at 5:12 pm

    by Jim Toes With Memorial Day now behind us, another season of commencement addresses across college campuses has passed. Like you, I enjoy a good YouTube video on these types of speeches whether it’s a Navy SEAL describing how he starts everyday with the accomplishment of making his bed or seeing Will Ferrell appear out…  Read more The post To the Class of 2017: Loyalty, be open to feeling it. appeared first on Security Traders Association. […]