Security Traders Association dictum meum pactum since 1934

  • 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 November 1, 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. […]

  • Comment Letter: Tick Size Pilot
    by Jim Toes on September 6, 2018 at 3:45 pm

    The Security Traders Association, (“STA”) offers comments on the Tick Size Pilot Program (“Pilot”, or “Plan”). STA’s comments on issues related to market structure come from our roles as practitioners in the markets. STA’s diverse membership, as measured by geography and business models, and long history of interacting with the Securities and Exchange Commission (“Commission”),…  Read more The post Comment Letter: Tick Size Pilot appeared first on Security Traders Association. […]

  • RIP TSP (Tick Size Pilot)
    by Jim Toes on September 6, 2018 at 2:43 pm

    RIP TSP (Tick Size Pilot) by Jim Toes Earlier this week, STA filed what will most likely be its last comment letter on the Tick Size Pilot. Our letter offers opinions on the upcoming termination date and the assessment of data accumulated during its first twelve (12) months, which can be summed up in a single sentence:…  Read more The post RIP TSP (Tick Size Pilot) appeared first on Security Traders Association. […]

  • Dear Summer Interns: Stay in Touch
    by Jim Toes on August 28, 2018 at 7:13 pm

    Dear Summer Interns; Tips on how to stay connected by Jim Toes This Taking Stock is addressed to interns. Kindly forward to a college intern who is working at your organization. Dear Summer Interns: STA serves individuals in the financial services industry and that includes you now. It’s mid-August, and your internships will soon be coming to…  Read more The post Dear Summer Interns: Stay in Touch appeared first on Security Traders Association. […]