Dear Colleague,
We’re pleased to provide an update on the 2020 STA Market Structure Virtual Conference.
The theme of this year’s conference is titled “A New Today” – a fitting choice given the events of the year. The coronavirus pandemic has caused tremendous disruption within the financial services industry, our personal lives and in the wider world. In responding to this most challenging moment, we as individuals and as an industry, once again showed resilience and the ability to adapt in countless ways. Hope has replaced fear, and attitudes have shifted from how to survive to how to thrive and grow.
While we, of course, wish that we could be gathering in person, we are committed to delivering a conference that offers insight, education and meaningful opportunities for connection. The virtual format may make this year’s event a unique one, but it will be no less impactful.
A near complete program agenda is below. Please take a moment to view it and register today!
We look forward to you joining us, and wish you and your families safe and healthy days ahead.
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2020 Market Structure Conference |
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Our 2020 Market Structure Conference
is Going Virtual!
Registration Is Now Open
Two Full Days of Engaging Content!
1-on-1 Interviews
2-Person Fireside Chats
3-Person Panel Discussions
Daily Breakout Sessions
...and more
Registration Fee: $295 per person
Employees of Government Agencies and
Sponsoring Firms* Attend at No Cost
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Open Call Notice
How asset managers will incorporate SEC Rule 606(b)(3) Reports into their best-execution policies and procedures is a topic of conversation between and among various market participants.
Please join us as we discuss Rule 606(b)(3) and address some of the common questions asset managers and their brokers are asking.
Featuring:
Jeff Estella
Founder
and
Justin Schack
Managing Director & Partner
Thursday, September 3, 2020
4:30 p.m. - 5:00 p.m. ET
Dial In 1.888.788.0099
Meeting ID# 398 151 1983
Plus STA Updates on
Form 13F & October Market Structure Virtual Conference
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Featured Article
Shaping the Future: Grandparents Have a Key Role to Play in Diagnosing Autism
By Alison Singer, President, Autism Science Foundation
As President of the Autism Science Foundation, I’m here to say that grandparents have a vital role to play in diagnosing and treating autism. As Grandparents Day approaches, this is the perfect time to explain how continued vigilance will lead to improved outcomes for the next generation and encourage grandparents to speak out.
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From the Hill
SEC Proposes Data Security Enhancements to the CAT NMS Plan
The Securities and Exchange Commission today proposed amendments to the national market system plan governing the Consolidated Audit Trail to bolster the Consolidated Audit Trail’s data security. While the CAT NMS Plan currently sets forth a number of requirements regarding the security and confidentiality of CAT data, the proposed amendments to the CAT NMS Plan are the latest SEC action to limit the scope of sensitive information required to be collected by CAT and enhance the security of the CAT and the protections afforded to CAT data.
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Caroline A. Crenshaw and Hester M. Peirce Sworn-In As SEC Commissioners
The Securities and Exchange Commission today announced that Caroline A. Crenshaw and Hester M. Peirce have been sworn into office as SEC commissioners. Ms. Crenshaw and Ms. Peirce were both unanimously confirmed by the U.S. Senate on August 6, 2020.
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Richard R. Best Named Director of SEC's New York Regional Office
The Securities and Exchange Commission today announced that Richard R. Best has been named Director of the New York Regional Office. Mr. Best will succeed Marc P. Berger, who has been named Deputy Director of the Division of Enforcement.
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FINRA Announces Results of Governor Elections
FINRA announced today the results of its election of two Governors to its Board of Governors. At today’s Annual Meeting of FINRA firms, small firms elected Wendy Lanton, Chief Operations/Compliance Officer, Lantern Investments, Inc., as a Small Firm Governor. Large firms re-elected Jim Nagengast, CEO of Securities America Financial Corporation Inc. and President of Securities America Inc., as a Large Firm Governor.
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Taking Stock
brought to you by JonesTrading
The Bright Side
By Chris Halverson, CAPIS
STA Chairman
We should use this opportunity to thank those who have helped us, reconnect where we’ve lost touch, and when possible, make amends with relationships that have gone off course for reasons that may seem trivial through today’s lens. If we do, finding that bright side will be that much easier.
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Affiliate Event Notice
STA Affiliate Golf Outings are a great way to network
with your industry colleagues in a comfortable, and safe, environment.
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2020 STANY Golf Outing
Monday, Sept. 21
Fairmount Country Club
Chatham, NJ
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Complimentary Conference Registrations for
STAR Individuals
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We are pleased to announce that the STA Job Re-entry Program, STAR, is offering 100 Complimentary Conference Registrations for STA's 2020 Market Structure Virtual Conference to industry professionals who are in between jobs and actively pursuing an opportunity within financial services. |
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Become an STA Podcast Partner *NEW*
Got a podcast? Secure unique content and reach new listeners by becoming a 2020 Market Structure Conference Podcast Partner
STA will assist approved Podcast Partners in obtaining presenters from the 2020 Conference program and will promote Podcast Partners through our 28,000 email distribution list before and after our October event!
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STA in the News
brought to you by Forefront Communications
CAT Begins Without a Hitch, but Security Worries Persist
The SEC’s consolidated audit trail passed two major milestones this summer without any major hiccups, but concerns about cybersecurity persist from many industry members. Jim Toes, president and CEO of the Security Traders Association (STA), New York, said that while requiring less information to be stored in the CAT is good, there’s still cause for concern.
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Original Content | 29,000 Subscribers
Follow STA
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Media Inquiries
Sam Belden
Forefront Communications Group
212-320-8986
sbelden@forefrontcomms.com
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