December 2017
Happy New Year!

On behalf of all STA members in the U.S. and Canada, we wish that the coming year is a glorious one that rewards your future endeavors with great success and experiences.


"The best thing about the future is that it comes one day at a time."
- Abraham Lincoln
STA Lighthouse
brought to you by JonesTrading

‘Tis the season for serendipitous moments
by Jim Toes

Over the years, there are two stories I’ve stopped telling because simply, no one believes them. One involves a rattlesnake on the Delaware Water Gap, the other as you will read is more appropriate for this time of year. It is the story of how I got my first job on Wall Street. Having recently graduated from college with an interest in finance I took a bartending job at the South Street Seaport. With its close proximity to the financial center of the world, the bar provided a good location to hand out resumes.  Read full story here
Upcoming Affiliate Events
 brought to you by Virtu

Each year, STA Affiliates host events that provide great opportunities to network and become informed on industry issues.

As you plan your 2018 travel, please take a moment to review our calendar for information on

STA in DC

 Dec. 14 & 15 - STA held meetings with Congressional Staff on a range of issues including Consolidated Audit Trail; ETPs and Tick Size Pilot. Specific comments here

Dec. 21 - The U.S. Senate confirms Hester Peirce and Robert Jackson to serve as SEC Commissioners.  Page 14 here
STA Women in Finance
brought to you by Thomson Reuters

Where is it you want to go?
by Jodie Mrotek

As 2017 draws to a close, it’s impossible not to acknowledge the powerful events that have shaped the year. The  Women’s March  in January was one of the largest single-day protests in U.S. history, with worldwide participation in the millions. The movie  Wonder Woman  became the first superhero blockbuster with both a female lead, as well as director. Finally, most recently, The Silence Breakers and the  #MeToo  movement was named TIME magazine’s Person of the Year. Read full story here
STA Open Call

A special thank you to Joseph McDonald, Senior Director at FINRA for presenting on FINRA's New Exam Process.

In July 2017, the SEC approved FINRA’s proposed rule change to streamline competency exams and expand opportunities for prospective securities professionals seeking to enter or re-enter the securities industry. The proposal is a combination of consolidating certain registration rules and restructuring the representative-level qualification examinations by creating a general knowledge examination called the Securities Industry Essentials (SIE) . The SIE is a new, introductory-level FINRA exam for prospective securities industry professionals.

Executive Summary report here