July 2015
Feature Article

Thank you

by Jim Toes


Last week the STA traveled to Washington D.C. for a handful of meetings with the SEC, FINRA and House Staff. In some ways it was a very typical trip for us, discussing the latest issues and catching up on general matters. The difference however this time was the level of confidence we carried with us. 

Confidence which came from those of you who filled out the survey we used in preparing for what we thought would be a routine visit. Your feedback was strong, articulate and most of all passionate. Our industry is filled with intelligent, hardworking people who care. Sloth is not in our DNA. We did our best to carry your input and passion; and hope we were effective vehicles of communication. I will end this month's letter here, so as to allow you more time to read the comments made by your peers. Thank you, for your support and on behalf of the entire STA Board of Governors, we wish you all a happy and safe summer. 


Talking Points >     Survey Results >

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News From the Hill

The Need for Proactivity: Remarks at the 2015 National Association of Women Lawyers Annual Meeting and Awards Luncheon Chair Mary Jo White

Thank you, Marsha, for your very kind words.  It is a pleasure to be here today to receive this honor from NAWL in the name of Arabella "Belle" Babb Mansfield, the very first woman admitted to any state bar in the United States.  It is extraordinarily special and humbling, as is joining the illustrious company of your prior recipients of this award and your other honorees today. Read more


Release of Joint Staff Report on U.S. Treasury Market October 15, 2014

Staff from the U.S. Department of Treasury, the Board of Governors of the Federal Reserve System, the Federal Reserve Bank of New York, the U.S. Securities and Exchange Commission, and the U.S. Commodity Futures Trading Commission issued a joint report analyzing the significant volatility in the U.S. Treasury market on October 15, 2014.  Read more


The Dodd-Frank Act Five Years Later: Are We More Prosperous?

The Financial Services Committee held a hearing entitled "The Dodd-Frank Act Five Years Later: Are We More Prosperous?" The hearing examined the implementation and operation of the Dodd-Frank Wall Street Reform and Consumer Protection Act as well as the effect that the legislation has had on the financial services landscape and the U.S. economy.  Archive webcast here 

82nd Annual STA Market Structure Conference

Visit our New Website Conference Page for all details and register today! 
Taking Stock 
brought to you by JonesTrading

NYSE outage; If I had a dollar and an hour

 by Jim Toes


Communication within our industry has become electronic across every department. The act of picking up the phone and talking to someone is a lost art even in situations when the conversation is an easy one to have. Imagine for a moment how difficult it is to have a conversation that starts with, "our systems are down and we may be affecting your business"


Read full article here


Charitable Giving

This year, we are pleased to announce that STA National is supporting the Semper Fi Fund.


The Semper Fi Fund, and its program America's Fund, provide immediate financial assistance and lifetime support to post 9/11 wounded, critically ill and injured members of all branches of the U.S. Armed Forces, and their families, ensuring that they have the resources they need during their recovery and transition back to their communities.


Learn more about the Semper Fi Fund HERE

2015 PNWSTA Annual Conference August 6-8
registration & details
The STA Events calendar keeps you informed on both national and  local STA events.  Join other security trading professionals to connect, learn and be inspired by the wide variety of panel discussions, keynote speakers, exhibitors and networking opportunities.

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