Category: Newsletter: STA
-
Labor Day Remembrance
SEC Publishes Responses to FAQs on Rule 606 Rule 606, as amended, requires more meaningful disclosures relevant to today’s marketplace that encourage broker-dealers to provide more effective and competitive order […] Read More
-
STA Conference First 15 Speakers and DC Meeting Recaps
FINRA holds July 2019 Board of Governors Meeting. FINRA CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provided updates from the meeting in a video report . Emily Westerberg […] Read More
-
SEC Extends Compliance date on Rule 606
SEC extends compliance date on Rule 606 SEC has decided to extend the date by which broker-dealers will be required to collect information required by Rules 606(a) and 606(b) from […] Read More
-
Paying It Forward
Last week, while most folks in the financial services industry were focused on their NCAA Basketball brackets, Quinnipiac University from Hamden, CT held the largest student-run financial conference in the world. […] Read More
-
STA Comment Letter
STA files letter with Senate Banking Committee on Capital Formation STA supports Title IX of S.488 (115 th Congress) and S.2347 (115 thCongress), which would expand testing-the-waters to all issuers, and would level […] Read More
-
Aiming to capitalize on a shifting liquidity landscape? Think about your platform
Core strengths of our market ecosystem include its ability to serve a wide variety of investor types and the efficiencies it provides for capital to move across asset classes and […] Read More
-
Reflections from 2018
by Mike Rask, Hodges Capital & STA 2018 Chairman Shortly after starting in this business, I recall a conversation with a long-time industry veteran who stated that “the financial services […] Read More
-
Happy New Year
Happy New Year “I like the dreams of the future better than the history of the past” -Thomas Jefferson On behalf of the STA Board of Governors and the 245 […] Read More
-
Take the Time
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 […] Read More
-
Bringing it home from Havana
Earlier this summer I took a short vacation with three close friends to Havana, Cuba. Spending time in the surroundings of warm weather, great food, tasty rum and of course, […] Read More