Security

Traders

Association of

New

York

2014 Brochure

About STANYThe Security Traders Association of New York (STANY) has represented professionals in the trading and financial services community in the Greater New York City area for over 77 years. STANY is a member, and the largest affiliate of, The Security Traders Association (STA). STA, and its regional affiliates, including STANY, are the only professional organizations focused directly and solely on issues related to trading of securities- stocks, options, derivatives and bonds.

Through education, advocacy and networking, STANY and its members are focused on fostering and maintaining liquid and efficient markets with robust capital formation for the benefit of both the trading community and investors.

STANY is committed to the education and empowerment of its members.In an increasingly electronic and impersonal marketplace, STANY provides opportunities for networking and sharing of information and ideas among members and with leaders in the financial services community.

By harnessing the collective experience and expertise of its members, STANY and STA serve as a voice for the trading community; representing the unique prospective of its members with regulators, legislators and the investing public.

STANY is a not-for-profit corporation run by a small executive staff and a Board of Directors elected from the industry. Dedicated volunteers from the membership are called upon to lend their assistance and expertise. STANY’s structure provides flexibility and permits the Association to respond to the ever-changing needs of its members and the community and remain vibrant and relevant.

The support of the financial services community is crucial as it makes it possible for the Association to represent the opinions and concerns of trading professionals to regulators, legislators, the media and the public. STANY is supported solely by its members and sponsors and receives no funding from the STA, other associations or the government.

STANY and STA represent the industry with regulators and legislators. Just some of the issues upon which we have been vocal are:

• Reg. NMS and its implementation, impact and consequences

• Amendments to Reg. SHO

• Short Sale Reporting

• SEC’s Concept Release on Equity Market Structure

• “Flash Crash” May 6, 2010

• Regulation of Non-Public Trading Interest

• FINRA’s Consolidated Quotation Facility

• FINRA’s OTC Fee Disclosure Proposal

• Trade At/Depth of Book

• Internalization and Dark Pools

• SEC Funding and Section 31a fees

• The Dodd-Frank Act

• The Volcker Rule

• CAT

• The JOBS Act

STANY MembersMembership in STANY is open to individuals who are employed in New York, New Jersey and Southern Connecticut as traders or in a capacity that directly supports or facilitates the trading of securities. Membership in STANY includes membership in STA.

STANY members are employed by broker-dealers, exchanges, ATSs, systems providers, hedge funds, and institutions. They trade all classes of securities- listed and OTC equities, options, derivatives, ETFs and bonds. They participate on both the buy and sell side of the markets. They are market makers, brokers, dealers, liquidity providers, technical traders, portfolio managers compliance personal, and lawyers. They provide liquidity to the markets, risk their own capital, facilitate the execution of securities for customers and drive the economic engine of capital formation in the US markets.

STANY members share a common interest in the protection and advancement of the trading profession. This affinity of interest allows STANY to represent a diverse membership while maintaining a non-partisan approach to advocacy.

Whenever possible, STANY approaches advocacy through consensus building and supports change and innovation consistent with the best interests of a robust and continuously functioning market without reference to any one business model.

Members* work at:Abel Noser Corp.ABN AMRO Clearing Chicago, LLCAlbert Fried & Company, LLCAlden Global Capital LLCAlgo PartnersAllen & CompanyAnde Financial ServicesAqua EquitiesAuerbach Grayson & Co LLCAXA Advisors LLCBank of America Merrill LynchBank of New York MellonBarclaysBATS Global MarketsBayCrest PartnersBenchmarkBenjamin & Jerold BrokerageBlackRockBloomberg LP and Bloomberg TradebookBNP-ParibasBNY Mellon Capital Markets, LLCBock Brokerage Services Inc.BondHawk SystemsBonwick Capital PartnersBowers Securities Inc.Brean Capital, LLCBTBTIGBuckingham Capital ManagementBuckingham Research GroupBuckman Buckman & ReidC & C TradingCanaccord Genuity SecuritiesCantor Fitzgerald & Co.Carnegie Inc.CastleOak Securities, L.P.Charles River DevelopmentCharles Schwab & Co., Inc.Charter Oak PartnersCIBC World MarketsCitadel Execution ServicesCiti Electronic MarketsCitigroup Global MarketsClearBridge InvestmentsCLSACME GroupConcept CapitalConvergEx GroupCorvil Ltd.Cowen & Company, LLCCramer Rosenthal McGlynnCredit Agricole Securities (USA)Credit SuisseCuttone & Co.

Davis Selected Advisors-NY,Inc.Deep LiquidityDeloitteDTCCDeutsche BankDiamond Carter TradingDirect Access Partners LLCDirect EdgeDivine CapitalDoshi Consulting Solutions, Inc.DSM Capital PartnersDTCCEarlyBird Capital Inc.ElevaTron LLCEmbiumESN North AmericaEvercore Wealth ManagementEZX Inc.FCC Investments, Inc.Fidelity Capital Markets & Fidelity InvestmentsFidessaFirm 58, Inc.First Investors Management Co.First New York SecuritiesFranklin Advisory Services, LLCFulcrum SecuritiesGAIN CapitalGateway Partners, LLCGlobal Liquidity PartnersGoldman SachsGroup One TradingGuggenheim PartnersHamilton ExecutionsHardcastle Trading USA, LLCHeights PartnersIEX Group, Inc.iGATEImperial Capital LLCInstinetIntegral Derivatives LLCInteractive Data 7ticksInvest Your WayITGITRS America Inc.J.P. MorganJane Street CapitalJanney Montogomery ScottJayman InvestmentsJefferies & Company, Inc.Jensyn, LLCJitneytrade Inc.Jones TradingJordan & JordanJP Morgan and JP Morgan Asset ManagementKading Companies, S.A.KCG

Kempen & Co. USAKingdom Ridge CapitalLadenburg, Thalmann & Co. Inc.Leede FinancialLek SecuritiesLiquidity BookLiquidnetLithium TechnologiesLivevol, Inc.Loeb Partners CorporationMacquarie GroupMacro Risk Advisors, LLCMantara, Inc.Maxim Group LLCMeridian Equity PartnersMerlin SecuritiesMetraTech Corp.Miller Tabak & Co., LLCMixit, Inc.Mizuho Securities USA Inc.MLV & Co.MND PartnersMontecito Advisors, Inc.Morgan Keegan & Co., Inc.Morgan StanleyMTD Compliance Advisor LLCMutual of America Capital Mgmt.NASDAQ OMXNational Stock ExchangeNeuberger Berman LLCNew York Life Investment ManagementNewedge USANigerian Stock ExchangeNomuraNortheast Arbitrage LTDNYSE Euronext and NYSE Amex OptionsO’Neil SecuritiesOTC Markets Group Inc. and OTC Link Paladyne SystemsPDQ ATS, Inc.PE SourcePershing LLCPetrus PartnersPhoenix Partners Group LPPineBridge InvestmentsPiper JaffrayPortware LLCPrime Executions, Inc.Raven SecuritiesRaymond JamesRBC Capital MarketsResolute CapitalRevolution Investment ManagementRobert W. Baird & Co Inc.Rosenblatt Securities Inc.RSC Latin Management

Sandler O`Neill & Partners, L.P.Sanford C. Bernstein & Co., LLCScotiabankSEB Enskilda Inc.Seppala FinancialSeton Securities GroupSociete Generale CIBSpeedRoute LLCSpiderRockStephens Inc.StockCross Financial Services, Inc.SunAmerica Asset ManagementSunGardSunrise Securities Corp.TAGTATA Consultancy ServicesTerraNova Capital Equities, Inc.TFS Securities, Inc.The Benchmark CompanyThe Briarly Fund Inc.The Nelson Law Firm, LLCThe Williams Capital GroupThemis Trading, LLCThinksoft Global ServicesThird Avenue ManagementThomson ReutersTitle TradingTMX - Toronto Stock ExchangeToro Trading LLCTower Research CapitalTrade KingTradingScreen, Inc.Tradition Asiel Securities Inc.Triad SecuritiesTwo Sigma SecuritiesTYJS Group LLCUBS & UBS Investment BankULLINK Inc.Vandham Securities Corp.VE Capital Management, LLCVeritas Securities Corp.vFinance Investment Inc.W.P. Stewart & Co., Inc.Wall Street AccessWallachBeth Capital LLCWeeden & Co.Wellington Shields & Co.Wells FargoWestminster SecuritiesWinterflood SecuritiesWipro TechnologiesWorldnet ConsultingWunsch Auction Associates,LLC

* Members as of 12/31/13

Membership, Sponsorship & Participation in STANY are highly effective ways to: • Help shape your Industry

• Build lasting relationships

• Enhance your career

• Network with like-minded professionals in your Industry and

• Stay current on issues impacting you and your business

Joining is Easy!Visit www.stany.org for a membership application and start to enjoy the benefits that association with fellow members of STANY can bring.

Not in NY, NJ or Southern CT and still interesting in membership? Visit www.securitytraders.org for information about an affiliate in your area.

Benefits of Joining STANY & STAMembers receive substantial discounts to all STANY and STA events, as well as discounts to events hosted by other affiliates of STA. In most cases Annual dues may be recouped by the discount from registration for just one event.

Members receive invitations to members-only educational and networking events.

Members may take advantage of health, disability and dependent care insurance at attractive group rates.

Members are eligible for discounts to a growing list of services provided by STANY partners, including discounts on such things as career coaching and resume writing services.

Access to STANY’s on-line Members’ Only Directory, STANY and STA LinkedIn Groups, e-mail announcements of relevant events and news updates, STA’s Members Conference calls, STA’s Monthly Newsletters, as well as a subscription to Traders Magazine.

Members may participate in STA-PAC events and support STA’s work in Washington through PAC contributions. There is strength in numbers and participation in STA-PAC is an effective way to show that you care about your industry.

Become a STANY Sponsor & Receive: Exposure to the ultimate decision makers

Unsurpassed networking opportunities with senior executives

Opportunity to develop new contacts and leads

Opportunity to distribute promotional materials to event attendees

Recognition as an industry leader committed to supporting traders, and the missions of STANY and STA

Sponsorship with STANY delivers exceptional brand exposure and provides unique opportunities to network and communicate directly with a highly targeted audience of industry professionals.

Many of our members and event participants are clients of, or potential sources of business for our sponsors; and supporting STANY is an excellent way for a firm to show it cares about the industry and about the organization which their clients support.

Our cost-efficient offers help firms meet their annual marketing and advertising goals through a variety of benefits which include sponsorship and exhibition opportunities, presence at all STANY events, and the ability to connect to STANY members through direct mailings, targeted contact lists and through the STANY website.

2013 STANY Annual Sponsors

Diamond Sponsors

Platinum Sponsors

Event Sponsors*Gold SponsorsBank of America Merrill Lynch FlexTrade Systems, Inc.Morgan Stanley UBS

Silver SponsorsBATS Global MarketsBNP ParibasCitadelCowen & CompanyITGNASDAQ OMXSunGard

Bronze SponsorsBarclaysCanaccord GenuityCiti MarketsDeepValue EnclaveDeutsche BankPershing, a BNY Mellon CompanyPrime ExecutionsRaptor Trading SystemsRobert W. BairdStock Cross Financial Services, Inc.TradingScreen, Inc. Weeden & Co. Wells Fargo Securities* Partial List - includes Annual Dinner & International Reception

Speakers at '12-'13 STANY Events and ConferencesMatt Andresen, Co-Chief Executive Officer, Headlands Trading

James J. Angel, PhD, CFA, Visiting Associate Professor, The Wharton School, University of Pennsylvania

Mary Ann Bartels, Managing Director, CIO Portfolio Strategies, Bank of America Merrill Lynch Global Research

James Brigagliano, Partner, Securities & Futures Regulatory Group, Sidley Austin

Joshua M. Brown, Financial Advisor, Fusion Analytics and The Reformed Broker

Philippe Buhannic, Co-Founder, Chairman & CEO, TradingScreen

Matt Carpenter, Head of Intrinsic Value Market Making, KCG

Arthur D. Cashin, Jr., Managing Director and Director of Floor Operations at NYSE, UBS Financial Services, Inc.

Alejandro Chávez Eguía, Executive Director, Equity Trading, Santander Investment Securities Inc.

Nick Cherney, CFA, Chief Investment Officer, VelocityShares

Eugene Choe, Managing Director, Credit Suisse

Dominic Chu, Markets Reporter, CNBC

Doug Clark, Managing Director of Research, ITG Canada

Abby Joseph Cohen, President Global Markets Institute & Senior Investment Strategist, Goldman Sachs

R. Cromwell Coulson, CEO, OTC Markets Group

Paul Daley, Head of Product Development, FOX River Execution Solutions, SunGard’s Brokerage

James Deighton, Executive Director Global Prime Services Investment Bank, J.P. Morgan

Harish Devarajan, CEO, Deep Value

Deanna Dobrowsky, Vice President, Market Regulation Policy, Investment Industry Regulatory Organization of Canada

James Duncan, Managing Director International Trading, Canaccord Genuity

Tony Dwyer, Chief Equity Strategist, Canaccord Genuity

Julie El-Taher, Managing Director, Head of International AES Americas, Credit Suisse

Dennis Gartman, Editor and Founder, The Gartman Letter

Gordon S. Gary, Partner, Head Trader, Philadelphia International Advisors

Alan Grigoletto, Director of Education, Options Industry Council

Marcelo Gualda, Senior US Representative, NYC, BMF USA INC

Bryan Harkins, Chief Operating Officer, Direct Edge

Chris Hempstead, Director of ETF Execution, WallachBeth Capital

Brad Hintz, Equity Research Analyst, Sanford Bernstein & Co., Inc.

Christopher Isaacson, SVP, Chief Operating Officer, BATS Global Markets, Inc.

Paul Karrlsson-Willis, Vice President, Head of International Trading, Fidelity Capital Markets

Tom Keene, Editor-at-Large, Bloomberg News

Dan Kessous, CEO, Chi-X Canada, ATS Limited

Mark Kuzminskas, Director of Equity Trading, Robeco Investment Management

Yasmin Landy, CFA, Institutional Portfolio Manager, International Funds, Fidelity Investments

Teddy Lardos, CEO, Raptor Trading System

Todd Lopez, Managing Director and Co-head of GSET Americas Sales, Goldman Sachs

Charles Lyon, Director, INTL FCStone Securities

Phil Mackintosh, Managing Director, Equities, Credit Suisse

Marty Mannion, Chief Operating Officer, Citadel Executions Services, LLC.

Francine McKenna, Independent Journalist, The Auditors; Columnist, American Banker & Contributor, Forbes

Joseph Mecane, EVP, NYSE Euronext

John Melloy, Executive Producer, Fast Money

Michael Modeski, President of OTC Link & MD Trading Services, OTC Markets Group

Christopher Monnery, North American Head of Electronic Execution Derivatives Products, Citi

Kevin Murphy, Managing Director, Head of U.S. Option Electronic Execution, Citigroup

Christopher Nagy, Managing Director Order Routing Sales & Strategy, TD Ameritrade

Eric W. Noll, Executive Vice President of Transaction Services U.S. and U.K., The NASDAQ OMX Group, Inc.

Thomas F.X. O’Mara, Co-Head of Equities, Cowen & Company, LLC

Sean Owens, Director, Fixed Income, Woodbine Associates

Salvador “Chava” Palma, Managing Director, Head of Trading, XP Securities LLC

Thomas Parry, FX Quant Trader, Bank of America Merrill Lynch

Robert Passarella, Managing Director Financial Institutions Group, DataSift

Edward L. Provost, Executive Vice President, Chief Business Development Officer, CBOE

Brett Redfearn, Americas Head of Market Structure Strategy, JP Morgan Securities,

Keller Reid, Vice President, Head of Agency Trading and Execution Services, Penson Financial Services, Inc

Joseph Ricciardi, Managing Director, Knight Capital Americas, L.P.

Paul Richards, Head of FX Distribution Americas, UBS

Richard Ross, CMT, Global Technical Strategist, Auerbach Grayson

Hugo Rubio, Head Trader, BTG Pactual

Stephen Sachs, Head of Capital Markets, ProShares

Kevin Sampson, Vice President, Business Development & Strategy, TMX Group

Ismael Santiago, Jr., Vice President, Livevol, Inc.

Michael Santoli, Senior Columnist, Yahoo! Finance

Mani Singh, Head of International Electronic Sales, Citi

Constantine Skondras, Managing Director, Institutional FX Options, FXCM-Pro

Simon Spenser, Senior Vice President, Two Sigma Securities

Larry Tabb, Founder & CEO, The Tabb Group

Gregory Treacy, Director, Bank of America, Merrill Lynch

Greg Tusar, Managing Director and Head of Goldman Sachs Electronic Trading, Goldman Sachs

Brad Vopni, Senior Vice President, NASDAQ OMX

Kevin Walsh, Senior Equity Trader, First Investors Management Co.

David Weild, Sr. Advisor, Grant Thornton LLP & Chairman & CEO, Weild & Co.

Paul Weisbruch, VP of ETF/Index Sales and Trading, Street One Financial

Joseph Weisenthal, Executive Editor, Business Insider

Brendon Weiss, Vice President, Legal and Government Affairs, NYSE Euronext

Jon Werts, Managing Director, Head of Broker Dealer Execution, Bank of America Merrill Lynch

What attendees have said about recent eventsProbably one of the best, most relevant conferences I have been to in the last 5 years. Leonard A.

I was really impressed. Everyone I talked to could not have been happier with how the day turned out. Sessions during the day were extremely informative and well attended. Frank M.

The Conference was one of the best ever....especially on content, timeliness of the discussions and true leaders on the topics discussed... Well done! Louis M.

Congrats on a great conference...I think it was the best in 10 years. Charles P.

Congratulations STANY Board Members on an excellent event. It was nice to see it so well attended and I have heard nothing but great reviews on the panel presentations.... Kudos on a job well done. Gregg D.

What our speakers have had to sayThank you as well for having me speak....I think it was unique to other options panels I have seen in the past....nice job in getting quality content spread amongst some diverse experience in the industry. I look forward to similar upcoming events. Pat L.

Thanks so much for inviting me [to speak.] It was a great turnout and a very impressive speaker list. I received some excellent feedback from attendees as well. Well done! Michael B.

Thank you so much for...the opportunity to speak. I had never before attended a STANY event, and I must admit that I was very impressed by its relevance and organization. If I could do anything to help in the future, it would indeed be my honor. Steve S.

Great job last week! ... such a pleasure working with you and the entire team at STANY. The STA holds a special place in my heart and I am glad that I can stay connected to my roots in the financial industry through events such as your wonderful conferences. Dominic C.

Thank you for the opportunity. I really enjoyed doing the panel. Let me know if there are other events you would like me to do in the future. It was a true pleasure. Robert P

Officers, Directors and ConsultantsPat Armstrong, Prime Executions, Inc. President

Chuck Lugay, Citadel First Vice-President

Thomas Fasano, Citi Electronic MarketsSecond Vice President

Beth Hamburger, Aqua EquitiesSecretary

Jeffrey Cooper, SunGardTreasurer

Lisa Utasi, Clearbridge InvestmentsPast President

Nicholas DeMaria, StockCross Financial Services

Barry Hickman, Pershing Trading Services

Eric Hochman, Canaccord Genuity

Ron Hooey, Wells Fargo Securities

Sean Klinkowize, TradingScreen, Inc.

Patricia Koetzner, CastleOak Securities

David LaValle, NASDAQ OMX

Mike Modeski, OTC Markets Group

Daniel Strack, Goldman Sachs

Stan Thurley, UBS

Peter Wilson, KCG

James Hyde, NYSE U.S. Options

Bill Karsh, National Stock Exchange

Marc Muller, BNP Paribas

Steve Nelson, The Nelson Law Firm

Kevin Sweeney, Societe Generale

FOR MORE INFORMATION

Call: 212.344.0410

Email: kimu@stany.org

Write to: STANY 245 E. 40th St., 29G New York, NY 10016

Visit: www.stany.org