Episode 4: A View After the Commission

In Episode 4, we sat down with former SEC Commissioner Troy Paredes of Paredes Strategies LLC. We covered AI, recent developments at the SEC, insights on how to track those issues you care about post-Presidential election and Troy’s bi-monthly podcast Appetite for Disruption, which discusses the business and regulation of fintech.

The history of the relationship between the SEC and STA is a long one.  Both organizations were formed at a pivotal time in the nation’s economic history.

The Securities Act had become law and the Securities and Exchange Commission was formed to regulate the issuance and sale of corporate securities to investors and bolster public confidence in the stock market.

STA was born in the Windy City of Chicago, when local industry professionals invited security traders across the Midwest to join them at their inaugural outing where bylaws were drafted and elections held.

That was August 21, 1934 and while the guiding principle identified back then remain core to STA today it has been the hundreds of individual relationships between SEC Commissioners and STA Chairs that in combination have enabled it to strive.

One such example, is former Commissioner Troy Paredes who after being appointed by President George W. Bush went on to serve at the Commission from August 2008 to August 2013. Commissioner Paredes, like so many of his fellow commissioners, always kept an open-door for STA.

As always, Commissioner Paredes provided awesome insights and well informed opinions. Enjoy the Listen.