Category: Resources

Open Call: Outsourcing by Investment Advisers SEC Proposed New Rule 206(4)-11, and Amendments to Rule 204-2 and Form ADV

On October 26, 2022, the Securities and Exchange Commission (SEC) proposed new rule 206(4)-11 and rule amendments under the Advisers Act that prohibit SEC-registered investment advisers from outsourcing certain services or functions to service providers and third-party recordkeepers without meeting minimum due diligence and monitoring requirements. If adopted in its current form, the requirements would…  Read more

Open Call: How to Intern Successfully

If you are fortunate enough to have a college student or recent grad uate who is interested in obtaining an internship, we encourage them to listen to our latest STA Open Call. Featuring: Robert J. Khoury Founder & CEO Agile Rainmakers & Author of How to Intern Successfully Regardless of the desired field, obtaining an internship…  Read more

In our latest episode of Trading Views, we invited Bob Pisani, CNBC Senior Markets Correspondent, to discuss his latest book titled Shut Up and Keep Talking: Lessons on Life and Investing from the Floor of the New York Stock Exchange.

Open Call: Oursourced and Supplementary Trading Part One

Recent surveys show that more than one-third of asset managers see outsourced or supplementary trading relationships as a means to achieve operational efficiencies and a strategy to address the ever-changing regulatory and competitive landscapes. This episode is the first of two sessions on outsourced and supplementary trading and will cover three areas: An overview on…  Read more

Early in the calendar year STA recognizes a charity and then in a spirit of partnership, we help promote their cause and provide financial support. On episode 17, we talk about STA’s 2022 Charity of ChoiceCatch a Lift Fund, “CAL” with its President and Founder, Lynn Coffland, Catch a Lift Fund enables post 9/11 combat injured veterans all over the U.S. to recover and rehabilitate both physically and mentally through physical fitness, motivation and support.