Security Traders Association dictum meum pactum since 1934

  • Room at the top: Women in finance and investing
    by Jim Toes on February 13, 2018 at 8:31 am

      Room at the top: Women in finance and investing by Lee McAdoo,  Managing Director Investor Education at TD Ameritrade   Age 35. That’s about when I started to notice that I had fewer female peers. It shouldn’t have surprised me. Women start to fall back largely due to having families and choosing to opt…  Read more The post Room at the top: Women in finance and investing appeared first on Security Traders Association. […]

  • Open Call Report – FINRA’s 2018 Regulatory and Examination Priorities Letter
    by Jim Toes on February 8, 2018 at 2:41 pm

    On January 8, 2018, FINRA published its 2018 Regulatory & Examinations Priorities Letter. The list of categories included; Fraud; Operational & Financial Risks; Sales Practice Risks; New Rules and Market Integrity, which was topic of the call, in particular Manipulation; Best Execution and Options. Mr. Gira touched on the process FINRA follows in crafting its…  Read more The post Open Call Report – FINRA’s 2018 Regulatory and Examination Priorities Letter appeared first on Security Traders Association. […]

  • Open Call Announcement – FINRA’s 2018 Regulatory & Examination Priorities Letter
    by Jim Toes on February 1, 2018 at 10:03 pm

    Please join us as we discuss   FINRA’s 2018 Regulatory & Examinations Priority Letter with Tom Gira, Executive Vice President Market Regulation & Transparency Services FINRA     Mr. Gira will cover the Market Integrity portion of FINRA’s Letter that includes: Manipulation, Best Execution and Options.   Tuesday February 6, 2018 4:30 EDT to 5:00 EDT Dial in 1.800.346.2923…  Read more The post Open Call Announcement – FINRA’s 2018 Regulatory & Examination Priorities Letter appeared first on Security Traders Association. […]

  • STA Chairman’s Letter
    by Jim Toes on January 30, 2018 at 10:38 pm

    Hello, my name is Mike Rask and I am honored to serve as Chairman of the Board for the Security Traders Association in 2018. This will be my 20th year involved in STA, most of that time has been with the Dallas STA affiliate. I have had the privilege of working for Hodges Capital in Dallas, TX…  Read more The post STA Chairman’s Letter appeared first on Security Traders Association. […]

  • The awesomeness of Mardi Gras and grassroots
    by Jim Toes on January 29, 2018 at 7:35 pm

    The awesomeness of Mardi Gras and grassroots by Jim Toes Mardi Gras festivities picked up momentum this past weekend with a series of parades through the streets of New Orleans. While the climax of Carnival is not for another two weeks, the parades are demonstrative of NOLA’s colorful existence that make it a, “only one of…  Read more The post The awesomeness of Mardi Gras and grassroots appeared first on Security Traders Association. […]

  • A new year and infinite possibilities
    by Jim Toes on January 23, 2018 at 9:09 pm

    A new year and infinite possibilities by Jodie Emmert Mrotek STA WIF Co-Chair Happy New Year! We hope that everyone’s 2018 is off to a great start! As we kick off the new year here, the STA WIF Committee is pleased to announce the 2nd Annual Ken Heath Award event taking place in Chicago on March 21,…  Read more The post A new year and infinite possibilities appeared first on Security Traders Association. […]