Security Traders Association dictum meum pactum since 1934

  • Open Call Report – Securities Lending; A $10b Revenue Line
    by Jim Toes on December 7, 2018 at 3:12 pm

    STA Open Call – December 4, 2018 – Call Notes[1] Securities Lending: A $10 Billion Revenue Line Presenter: Bob Levy, Hanweck Presentation HERE   Opening Remarks – Jim Toes, STA Mid-term election results & possible outcomes Senate – Republicans pick up two seats and now hold a 53 to 47 majority. This should enable President…  Read more The post Open Call Report – Securities Lending; A $10b Revenue Line appeared first on Security Traders Association. […]

  • Take the Time
    by Jim Toes on December 1, 2018 at 2:12 am

    Take the Time by Jim Toes   In 2018, more than 160 firms sponsored at least one (1) STA Affiliate conference. While each firm had their own reason for doing so, all shared the commonality of taking the time to understand the value sponsorship could bring to their firm. As these firms plan their 2019…  Read more The post Take the Time appeared first on Security Traders Association. […]

  • Mid Term Election Results & STAC Women Collective Coffee
    by Jim Toes on November 26, 2018 at 5:55 pm

    Articles of Interest Sweeter Bonuses for Women This Year as Wall Street Confronts Gap by Sonali Basak, Bloomberg Wall Street leaders are facing heavier pressure this year to make their workplaces more attractive to women with better pay and faster promotions. That’s going to be top of mind as managers set bonuses in coming weeks.…  Read more The post Mid Term Election Results & STAC Women Collective Coffee appeared first on Security Traders Association. […]

  • Comment Letter: FINRA Continuing Education
    by Jim Toes on November 2, 2018 at 8:13 pm

    The Security Traders Association (“STA”) appreciates the opportunity to offer comments on FINRA Regulatory Notice 18-26 (“Notice”) which seeks industry input on, “…enhancements to the Securities Industry Continuing Education Program (CE Program) under consideration by the Securities Industry/Regulatory Council on Continuing Education (CE Council).” Comment letter here The post Comment Letter: FINRA Continuing Education appeared first on Security Traders Association. […]

  • Does the World Really Need Another Realtor?
    by Jim Toes on October 31, 2018 at 12:03 pm

    by Jim Toes If you recall, we published an article in June 2017 titled, Lawyers vs. Brokers. In that article we make mention of a then recent comment letter STA filed on FINRA’s lapsed license policy and how it contributes to what we believe is an unreasonable barrier of re-entry to the financial services industry for qualified individuals, particularly those…  Read more The post Does the World Really Need Another Realtor? appeared first on Security Traders Association. […]

  • The Investor: Our Industry’s True North
    by Jim Toes on October 25, 2018 at 12:51 pm

    The Investor: Our Industry’s True North by Jim Toes In the early 1990’s some of the companies on Nasdaq did not print to the tape. This meant that investors only saw a top-of-book quote and total volume from the previous day. One of these companies was a biotech firm with the ticker ALBM. In the early days…  Read more The post The Investor: Our Industry’s True North appeared first on Security Traders Association. […]

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