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August 2019
3D rendering of a merged Canadian-USA flag on satin texture. Concept of the mutually influential relations between the two countries politically and economically.
Neighborhoods across Canada and the United States
will be celebrating Labor Day this weekend, a holiday that honors and recognizes the contributions workers have made towards the
prosperity and economic well-being of both countries.

As we join together with families, friends and neighbors, we should
reflect on how the efforts of others have provided the prosperity that we
enjoy today as free nations.

On behalf of the STA Board of Governors, we wish all of you a
happy and safe Labor Day Weekend.


They [achievements of work] are the result of challenges faced, problems confronted, and effort expanded, sometimes at great personal cost. They have been earned first and then inherited by our own generation. We must keep that same faith with our children. 
- John F. Kennedy, 1962
From the Hill

SEC Publishes Responses to FAQs on Rule 606
Rule 606, as amended, requires more meaningful disclosures relevant to today’s marketplace that encourage broker-dealers to provide more effective and competitive order handling and routing services and that also improve the ability of their customers to determine the quality of such broker-dealer services.
FINRA Announces Governor Elections and Appointments
FINRA announced today the election or appointment of four Governors to its Board of Governors. Chris W. Flint, Linde Murphy, Camille Busette and Ethiopis Tafara were elevated to the board.
CFTC Chairman Tarbert Announces Additional Executive Leadership Appointments

U.S. Commodity Futures Trading Commission Chairman Heath P. Tarbert today announced the following appointments to the CFTC’s executive leadership team: Summer K. Mersinger will serve as Director of the Office of Legislative and Intergovernmental Affairs, while Suyash G. Paliwal will serve as Director of the Office of International Affairs.
SEC Investor Advisory Committee to Hold Telephone Meeting on September 5
The SEC’s Investor Advisory Committee will meet telephonically on Sept. 5 at 11 a.m. Eastern time. The public is invited to listen to the meeting live using the dial-in details provided. A recording of the meeting will be archived on the committee’s webpage for later listening.
Room Block Now 80% Sold!
STA in DC
Comment Letter: FIF and STA Comments on Amended SEC Rule 606
While much progress has been made with respect to the industry’s implied understanding of the scope and breadth of data that the SEC Staff expects to be reported pursuant to Rule 606, there remain several open questions that the SEC is still considering.

FIF and STA strongly emphasize that the lack of: 1) written guidance; 2) adequate resolution of open questions; and 3) clarity pertaining to reporting look-through data is preventing industry stakeholders from moving forward with the implementation of Rule 606 in a manner that will provide end-customers with consistent and accurate data.
STA Women in Finance
Last October at STA's Annual Market Structure Conference, we asked Alison Singer, President of Autism Science Foundation, to speak to our audience about the early signs of autism spectrum disorder. The response and questions that Alison received from concerned parents and family members was overwhelming. Considering the stats, that 1 in 59 children are affected, we felt it was important to share Alison's message with a wider audience.

Invest in Learning the Signs of Autism
President, Autism Science Foundation

As a parent, there are few things scarier than thinking your child may not be developing appropriately. With 1 in 59 children diagnosed with an autism spectrum disorder, it’s critical to be aware of the early warning signs of developmental delay and to take action if you have concerns. Early intervention can make a world of difference in a child’s life.
Lighthouse
 brought to you JonesTrading

Measuring Regulatory Influence
by Jim Toes , STA

Firms in the financial services industry spend an enormous amount of energy measuring progress towards intended goals. At times, this intense fixation on metrics can seem counterproductive, but maintaining this type of discipline proves to be beneficial in avoiding failure and achieving a successful outcome. The ability to measure progress and success as it pertains to regulation is equally as important given its increasing role in our industry, although finding the right metrics can be difficult.
Event Notice
 brought to you by Citadel Securities
2019 Texas Traders Convention
Sept. 5-7, 2019

The Four Seasons Resort at Las Colinas

Featured Keynote

Joseph Saluzzi
Partner & Co-Founder,
Themis Trading LLC

Plus...
Panel Discussion on
Enhanced Disclosure, SEC Rule 606, Order Routing & Best-Execution
and
Texas Hold 'Em, and Golf and Sporting Clay Tournaments!
STA Student in Finance Membership

STA has created a new membership classification for full-time undergraduate and postgraduate students called  Student in Finance, or “STA SIF . ” STA SIF Membership is FREE and is ideal for students who want to be informed on topics and issues within the financial services industry and to connect with securities industry professionals.

If you have or know a student who wants to take their first step towards the financial services industry, have them apply today!
Media Inquiries
Sam Belden
Forefront Communications Group
212-320-8986
sbelden@forefrontcomms.com