April 2023

Insight From the Front Lines: Washington DC Spring Update

Our April 19 Washington DC Spring Update was a success! Thank you to all the speakers, sponsors, moderators and attendees for supporting STA and our mission of advocating for our members and our markets. As we brought together congressional, regulatory and business leaders, we hope you came away with a better understanding of the current state of play and how to apply that understanding for the success of your firm.

For a recap of our program and the conversations we had, check out the conference report written by our partners at Forefront Communications.

Latest STA Open Call Now Available!

SEC Proposals on Reg NMS & Order Competition Rule

The latest STA Open Call discusses the SEC's December 2022 Equity Market Structure Proposals, with a focus on both the rules and their potential impact on our markets.

With Presenter

Joe Wald

Head of Electronic Trading

BMO Capital Markets

Watch Here

Upcoming Affiliate Events

Canadian STA (Toronto) Spring Fling

May 4

Chef's Assembly Hall

Toronto, ON

Details

Carolina STA 2023 Annual Conference

May 4-6

Wild Dunes Resort

Isle of Palms, SC

Details

STA Philadelphia 97th Annual Conference

May 11

Union Trust

Philadelphia, PA

Details

STANY Spring Golf Outing

May 15

Fairmount Country Club

Chatham, NJ

Details

STANY Emerging Leaders Sips and Snaps

May 16

IEX Headquarters

New York, NY

Details

Canadian STA Annual General Meeting and Educational Event

May 17

TMX Market Centre

Toronto, OT

Details

STA Chicago 2023 Fund Face-Off Hockey Tournament

May 18

Johnny's Ice House East

Chicago, IL

Details

Denver STA Spring Networking and Golf Outing

May 18-19

Del Frisco's Grill and Arrowhead Golf Club

Denver, CO

Details

Affiliate Conferences and Events

STA Women in Finance

DC Spring Update: Women in Finance (And Washington)

Part of our impressive DC Spring Update lineup featured women across the regulatory and financial spaces, weighing in on a number of important issues facing our markets today and in the coming year:

Giang Bui, Head of U.S. Exchange Traded Products, Nasdaq

Jeanine Hightower-Sellitto, Chief Strategy Officer, EDX Markets

Rep. Brittany Pettersen (CO), Member, House Financial Services Committee

Mahlet Makonnen, Principal, Williams & Jensen

Cass Sanford, Deputy General Counsel, OTC Markets Group

Changing the Face of Financial Services Interview Series: Tracy Caliendo

As we highlight the important work and impressive achievements of women in all areas of financial services, the STA Women in Finance Committee is pleased to continue this interview series.

Our latest edition features Tracy Caliendo, Managing Director, Head Global Commission Management and Hedge Fund Services at Bank of America.

STA In The News

Brought to you by Forefront Communications

Grading Gensler: Advocates Assess SEC Chief Two Years In

By: Robert Schmidt

Capitol Account

Capitol Account isn’t one of those Washington newsletters that highlights people’s birthdays. We prefer to focus on real news. But there was one anniversary this week that we couldn’t ignore: Gary Gensler’s second year as SEC chair. Gensler was sworn in on April 17, 2021, and it’s been go-go-go ever since.

STA 2023: FINRA Check-In with Greg Ruppert

By: Anna Lyudvig

Traders Magazine

Every year FINRA publishes its Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with key insights and observations to use in strengthening their compliance programs, said Jim Toes, President and CEO of the Security Traders Association. Speaking during the “FINRA Check-In with Greg Ruppert” session at the STA 2023 Washington DC Spring Update, Toes said that the report reflects new and evolving risks, industry trends and noteworthy findings.

SEC Commissioner Criticizes Agency’s ‘Regulatory Deluge’

By: Brian Croce

Pensions & Investments

The "regulatory deluge" underway at the Securities and Exchange Commission is uncoordinated and largely unnecessary, SEC Commissioner Mark T Uyeda said Wednesday.