Category: CEO’s Desk
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To the Summer Interns of 2019
This month’s Taking Stock column is addressed to the thousands of financial services interns in the United States and Canada. Please forward this on to those interns working among us this summer. To […] Read More
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Banquet Table on Market Structure: Issuers Pull Up a Chair
In an April 2013 letter to the Commission, STA voiced its objection to the SEC’s Small Business Advisory recommendation to allow companies to choose their own tick size. While our […] Read More
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What would Denzel do?
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 […] Read More
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Capital Formation: Same as it ever was?
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 […] Read More
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Financial Transaction Tax: This Time it’s Different, or is it?
As the field of 2020 Presidential candidates unfolds, it is becoming evident that a financial transaction tax (FTT) will be presented as a progressive means of raising funds for government […] Read More
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What if George Bailey Owned a Broker-Dealer Instead?
Once again, Christmas Eve at my house was spent watching It’s a Wonderful Life, with Jimmy Stewart playing George Bailey, a steadfast pillar in his hometown who also owns a building […] Read More
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Safeguarding Data & Trust
In 2018, despite all efforts to do otherwise, I hit new lows in protecting my personal data. I started out the year by spitting into a tube only to discover […] Read More
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Does the World Really Need Another Realtor?
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 […] Read More
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The Investor: Our Industry’s True North
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 […] Read More