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  • Open Call: Outsourcing by Investment Advisers SEC Proposed New Rule 206(4)-11, and Amendments to Rule 204-2 and Form ADV
    by Sam Belden on December 1, 2022 at 5:37 pm

    On October 26, 2022, the Securities and Exchange Commission (SEC) proposed new rule 206(4)-11 and rule amendments under the Advisers Act that prohibit SEC-registered investment advisers from outsourcing certain services or functions to service providers and third-party recordkeepers without meeting minimum due diligence and monitoring requirements. If adopted in its current form, the requirements would…  Read more The post Open Call: Outsourcing by Investment Advisers SEC Proposed New Rule 206(4)-11, and Amendments to Rule 204-2 and Form ADV appeared first on Security Traders Association.

  • STA’s Continued Effort to #PutHerOnThePanel
    by Sam Belden on November 30, 2022 at 5:35 pm

    by Jim Toes President & CEO, STA It’s no secret that the financial services industry has historically been male-dominated. In response to this, STA has made a concerted effort over the years to increase the diversity and inclusion not only in its board and membership, but also in terms of the individuals that we invite…  Read more The post STA’s Continued Effort to #PutHerOnThePanel appeared first on Security Traders Association.

  • Open Call: How to Intern Successfully
    by Sam Belden on November 25, 2022 at 10:46 pm

    If you are fortunate enough to have a college student or recent grad uate who is interested in obtaining an internship, we encourage them to listen to our latest STA Open Call. Featuring: Robert J. Khoury Founder & CEO Agile Rainmakers & Author of How to Intern Successfully Regardless of the desired field, obtaining an internship…  Read more The post Open Call: How to Intern Successfully appeared first on Security Traders Association.

  • Expressing Gratitude
    by Sam Belden on November 23, 2022 at 5:36 pm

    For those of us in the U.S., on Thursday we will celebrate Thanksgiving. This is traditionally a day spent in the company of family and friends giving thanks and expressing sincere appreciation for the support and love we provide each other. Yes, Thanksgiving is a wonderful day to be with those closest to us, but…  Read more The post Expressing Gratitude appeared first on Security Traders Association.

  • Conference Photos
    by Sam Belden on November 2, 2022 at 7:22 pm

    Check out our photo album documenting STA’s 89th Annual Market Structure Conference! See here. A Friday to Remember: 89th Annual Market Structure Conference Shines a Light on STA’s Mission by Jim Toes President & CEO, STA We’re proud to say that STA’s 89th Annual Market Structure Conference is in the books. On behalf of our…  Read more The post Conference Photos appeared first on Security Traders Association.

  • STA 2022 Market Structure Conference
    by Toes Jim on November 1, 2022 at 8:39 pm

    Photo Gallery The post STA 2022 Market Structure Conference appeared first on Security Traders Association.

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