September 2021
Featured Article

Greenwood Project: Opportunities for Tomorrow's Leaders

This year, STA is pleased to partner with Greenwood Project, a Chicago-based nonprofit organization that prepares high-achieving minority high school and college students for careers in the financial services industry through skills training, networking opportunities and more.

Founded in 2016, Greenwood Project aims to provide opportunities for Black and Latinx students interested in a career in financial services. Bevon was inspired to start Greenwood after over 20 years of trading experience with some the industry’s largest firms, while Elois spent most of her career in senior trading and compliance roles. Early on in their careers, both Bevon and Elois noticed a lack of diversity among the job ranks of financial firms and became eager to increase minority representation. Originally composed of just five students, Greenwood Project has since expanded greatly and has advocated for over 450 high school and college students to date.

Each year, the student program typically consists of a series of workshops and educational events – all candidates must complete an intensive financial training boot camp. Greenwood, through its corporate partners, also sponsors its students to take the SIE exam and a number of FINRA licensing exams.
Many industry firms have taken notice of Greenwood Project’s mission. With 55 current corporate sponsors and a growing volunteer base, Greenwood’s success in exposing minority students to careers in finance is further strengthened by the involvement of institutions and industry leaders keen on increasing diversity. With consistent firm engagement, the students of the Greenwood Project are being prepared for long-term success, with most candidates receiving either return or full-time offers from their respective internships.

STA recently hosted Bevon and Elois on an Open Call. Below is a link to our conversation. Please take time to learn more the Greenwood Project and we hope you enjoy the listen!
88th Annual Market Structure Conference: The Great Return

Online Registration for In-Person closes today

Online Registration for Virtual Attendees will remain open

Check out the most up-to-date program and panel descriptions for next week's market structure conference. Whether your expertise is in equities; options; ETFs or digital assets, there is something for you.

In-Person registration is currently 430 from 150 firms.

Online registration for In-Person Attendees closes Thursday, Sept. 30th.
Beginning Friday, October 1st, anyone wishing to attend In-Person
will need to register onsite.

Virtual Registration Free for Employees of Sponsors

If your firm is a sponsor, you are entitled to complimentary virtual-only registration, which will allow you to watch all sessions live or on-demand.
Visit our Featured Speakers Page!
Congressman Bill Huizenga
Stacey Cunningham
Honorable J. Christopher Giancarlo
Dan Gallagher
From the Hill

Dan Berkovitz Named SEC General Counsel; John Coates to Leave SEC
The Securities and Exchange Commission today announced that Commodity Futures Trading Commission Commissioner Dan Berkovitz has been named SEC General Counsel, effective Nov. 1. John Coates will leave the agency in October and return to teaching at Harvard University. Michael Conley, currently the SEC's Solicitor, will serve as Acting General Counsel upon Coates's departure until Berkovitz joins the agency.
FINRA Announces Governor Elections and Appointments
FINRA announced today the election or appointment of five industry members to its 22-member Board of Governors. Seven of the 10 industry seats on FINRA’s Board are decided via election, and large, mid-size and small firms decide the Governors who represent their respective firm categories in those seats.
SEC Atlanta Regional Office to Co-Host "Money and Markets: Trends and Risks for Retail Investors"
The Securities and Exchange Commission's Atlanta Regional Office and the University of Georgia School of Law will co-host a panel discussion on "Money and Markets: Trends and Risks for Retail Investors" on Tuesday, Oct. 5, 2021, from 5-6:15 p.m. ET.
FINRA Announces Retirement of Executive Vice President of Member Supervision Bari Havlik; Greg Ruppert Appointed as Successor
FINRA announced today that Bari Havlik, EVP and Head of the Department of Member Supervision, plans to retire from FINRA later this year. Havlik will be succeeded by Greg Ruppert, who currently reports to Havlik and serves as EVP and leader of FINRA's National Cause and Financial Crimes Detection Program (NCFC), on November 1st. She will remain an adviser to Ruppert to assist with the transition until the end of the year.
STA Women in Finance
STA Women in Finance Symposium
Featured Keynote Speaker

STA Women in Finance is pleased to announce its keynote speaker for its
6th Annual STA Women in Finance Symposium.
Heather Brilliant
Chief Executive Officer & President 
Diamond Hill Capital Management
Security Traders Association of New York
Fall Golf Outing
STANY hosted their annual Fall Golf Outing on September 20 - thanks to all attendees and sponsors!
Dallas Security Traders Association
Texas Traders Convention

Thank you to all who attended DSTA's Texas Traders Convention on Sept 9-10! Looking forward to the next event.
Upcoming Affiliate Events

Security Traders Association of Florida
Golf and Fundraising Event
October 1-2
The Wyndham Grand Clearwater Beach Resort & The Bardmoor Golf & Tennis Club
Dallas Security Traders Association
Texas Traders Tailgate
November 13
Darrell K Royal - Texas Memorial Stadium
STA in the News
brought to you by Forefront Communications

Security Traders Association Announces Winners of 2021 STA Foundation Awards
STA is pleased to today announce the recipients of the 2021 STA Foundation Awards. The annual STA Foundation Awards recognize individuals within the financial services industry who have made outstanding efforts in any of several areas, including stewardship and service, advocacy, philanthropy, and ethics. The Dictum Meum Pactum (“My Word Is My Bond”) Award has been awarded to Tim Mahoney. The STA Big Heart for Charity Award recipients are Silvia Davi, Kate Faraday and Marc Wyatt.
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