Open Call – Overcome and Thrive

STA Open Call – March 30, 2020

COVID-19: Overcome & Thrive with Jason Redman

Rule 606

On March 25, the SEC granted the FIF/STA request that certain Rule 606(a) and 606(b)(3) compliance deadlines be extended given the strain placed on human and technology resources following the outbreak of COVID-19. Specifically, the SEC has extended the following near-term Rule 606 deliverables:

  • 30-day extension Rule 606(a) – Broker-dealers are exempt from the requirement to provide the public report covering the first quarter of 2020 required by Rule 606(a) until May 29, 2020.
  • 60-day extension Rule 606(b) – Broker-dealers that engage in outsourced routing activity (second route/look through) are exempt from the requirement to collect the monthly customer-specific data required by Rule 606(b)(3) for such activity until June 1, 2020, and are exempt until July 29, 2020. See the full Extension Order here

STA Reach-Out to Universities

Given the recent outbreak of the COVID-19 virus and the quarantine response, the STA Board of Governors felt that now was a good time to organize and expand our relationships with universities and colleges with the goals of serving the needs of students interested in a career in financial services and improving the lines of communication between industry and academics. Read more

Jason Redman –

Adversity can often catch us by surprise and leave us struggling with what to do next. Jason discussed how to: confront; overcome and thrive from any adversity, from the biggest challenges — the loss of your job, divorce, health issues, bankruptcy — to normal daily challenges — a late flight, a disappointing phone call, a missed promotion, a bad day. The need to “Get Off the X”. How to strengthen your endurance during long-term trials. How to rediscover and thrive in your life purpose. How to lead your team (whether in business or family) to success. How to stay the course even when you want to quit