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December 2019
From the Hill

SEC Adopts Actions to Stand Up Security-Based Swap Regulatory Regime
The Securities and Exchange Commission adopted a package of rule amendments, guidance, and a related order to expand and improve the framework for regulating cross-border security-based swaps, including single-name credit default swaps.
SEC Announces Robert A. Marchman as Senior Policy Advisor on Diversity and Inclusion
The Securities and Exchange Commission announced the appointment of Robert A. Marchman as Senior Policy Advisor on Diversity and Inclusion. In this newly created role within the SEC's Office of Minority and Women Inclusion (OMWI), Mr. Marchman will focus on working with Commission divisions, offices, and advisory committees to develop and implement strategies to promote diversity and inclusion, both within the SEC and through external engagement with agency partners and market participants.
CFTC Approves One Final Rule and Two Proposed Rules at December 18 Open Meeting
At an open meeting, the U.S. Commodity Futures Trading Commission approved one final rule and two proposed rules.
STA Women in Finance
Top 3 STA WIF Newsletters of 2019

Each year nearly 240 individuals across North America give their time to serve on any one of STA’s 24 affiliate boards in the U.S. and Canada. All of these individuals are paying it forward in an effort and desire to improve our industry not just for today, but for the next generation as well. 
Taking Stock
brought to you by JonesTrading

Would You Be Prepared?
By  Jim Toes , STA

In our industry, like so many others, the timing between when you expect something to happen and when it actually does is often not in sync with those who make these types of decisions. This typically leads to a situation that is unexpected and highly disruptive, as most people are not fully prepared to hear the words, “We’re letting you go.” 
2020 STA Affiliate Annual Events
As you plan your 2020 travel schedule, consider attending an STA Affiliate Annual Event and learn why more than 5,500 people did in 2019! Dates and sponsorship information can be found here
Event Notice
STAC 94th Annual Mid-Winter Meeting
January 15-16, 2020

Featuring Keynote Speakers

Rocky Wirtz
Chairman, Chicago Blackhawks
President, Wirtz Corporation

and

Jeff Saut
Chief Market Strategist &
Advisory Board Member, Capital Wealth Planning
STA in the News
brought to you by Forefront Communications

The Intersection of Washington and Wall Street: Jim Toes, STA
Speaking with TABB Group founder and research chairman Larry Tabb, Jim Toes, president and CEO of the STA, explains how the STA navigates the intersection of finance and politics and how its efforts with regulators are impacting the industry. They discuss the challenges and progress of the new Rule 606 reporting requirements, FINRA professional licensing and continuing education, as well as improving diversity and inclusion at the top of the industry.
STA's Job Re-entry Program
STAR, or STA's Job Re-entry Program, is a new initiative
that assists individuals who have been displaced from their job
and are seeking re-entry into financial services. 
Check out Photo Album

STA 86th Annual Market Structure Conference:
Realizing Opportunity
STA Student in Finance Membership

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 know a student who wants to take their first step towards the financial services industry, have them apply to be an
STA Student in Finance member today!
Media Inquiries
Sam Belden
Forefront Communications Group
212-320-8986
sbelden@forefrontcomms.com