Category: CEO’s Desk
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‘Tis the season for serendipitous moments
Over the years, there are two stories I’ve stopped telling because simply, no one believes them. One involves a rattlesnake, the other as you will read is more appropriate for […] Read More
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STA Opposes First-in, First-out (FIFO) Cost Basis Provision of the Senate Finance Committee Bill Tax Cuts and Jobs Act
Security Traders Association Opposes First-in, First-out (FIFO) Cost Basis Provision of the Senate Finance Committee Bill Tax Cuts and Jobs Act The Security Traders Association, (“STA”) opposes the provision in […] Read More
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Whatever Became of Active Investment? Is Capital Formation Next?
History has shown that prolonged periods of rising asset prices and low volatility make it difficult for active managers to compete against their passive counterparts. History also tells us that […] Read More
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Falling-back is not failure, not even with CAT
In the military, falling-back happens all the time and for good reasons – none of which equate to quitting or failure. Rather, falling-back is viewed as a sound response to […] Read More
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Lawyers vs. Brokers
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 […] Read More
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To the Class of 2017: Loyalty, be open to feeling it.
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 […] Read More
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Under Pressure
Markets Media The only thing constant in this world is change. And for the U.S. brokerage world, that axiom holds particularly true especially now in the face of looming regulation […] Read More