January 2018
Feature Article


STA Chairman's Letter
by Mike Rask
Hodges Capital & STA Chairman


Hello, my name is Mike Rask and I am honored to serve as Chairman of the Board for the Security Traders Association in 2018. This will be my 20 th year involved in STA, most of that time has been with the Dallas STA affiliate. I have had the privilege of working for Hodges Capital in Dallas, TX for the past 13 years where I am the Director of Trading. Like you, I am on the front lines of this great industry everyday; on the trading desk, executing trades on behalf of clients who have placed their trust in us. Our industry is constantly evolving and truly unique for its ability to connect people across the nation and around the globe.

STA is a unique financial services industry group with more than 250 industry professionals who volunteer their time serving on any one of the 24 affiliate boards across North America. While our membership is primarily traders of equities and options from buy-side and sell-side firms of every type, we are proud to also have individuals from technology, exchanges and compliance among our ranks. Our membership is diverse and we do not push any single business model. STA’s core strengths remain its diversity and an 85-year history that dates back to the Securities Act of 1934. We are truly a grassroots organization that strives to ensure our markets protect the interests of investors and remain the most liquid in the world. Read more
STA Open Call

Topic of Discussion


Presenter

Tom Gira
Executive Vice President
Market Regulation & Transparency Services
FINRA

Mr. Gira will review the Market Integrity portion of
FINRA's letter which covers:  
Manipulation, Best Execution and Options

Tuesday, February 6, 2018
4:30 pm to 5:00 pm EDT

Register HERE
STA Taking Stock
brought to you by JonesTrading

The awesomeness of Mardi Gras and grassroots
by Jim Toes

STA is a grassroots organization, which by definition, means it is an association comprised of small groups with shared interests. As it pertains to STA members, that shared interest is the overall health and strength of our financial markets. But what the definition of grassroots does not capture is how that shared interest brings people of diverse backgrounds together, people who normally would not interact with each other if not for that shared interest. Full article
Upcoming Affiliate Events
 brought to you by Citadel Securities

Feb. 2 - Jay Clayton, Chairman , U.S. Securities and Exchange Commission, to participate at MASTA's 83rd Mid-Winter Conference details

Feb. 8-10 - STA Florida will host its 38th Annual Conference at the Opal Sands Resort, Clearwater Beach , Florida details

Check out all 2018 STA Affiliate Events
STA in DC

 Jan. 23 - STA filed a comment letter on FINRA Retrospective Review of Rule 5250, "Payment for Market Making" HERE

Jan. 23 - FINRA published an overview of its 2018 Annual Budget, which includes its Financial Guiding Principles

"In the interest of promoting greater transparency regarding our operations, we are publishing – for the first time – a summary of our Financial Guiding Principles, as well as an overview of FINRA’s 2018 annual budget." Full report  
STA Women in Finance
brought to you by Thomson Reuters

A year of infinite possibilities
by Jodie Mrotek

As we kick off the new year, the STA WIF Committee is pleased to announce the  2nd Annual Ken Heath Award  event taking place in Chicago on March 21, 2018. Last year’s inaugural event, held in New York City, was well received and we look forward to working with STA Chicago, STAC, on a great evening in Chicago as well.

More information on Ken Heath, the March 21 event and how to nominate a worthy candidate can be found HERE .

Visit STA WIF News
for past issues