Jim Toes has served as President and CEO of Security Traders Association (STA) since 2011. In this role, Mr. Toes maintains STA’s relationship with U.S. regulators and congressional policymakers, advocating for the employees and customers of the financial markets. Under Mr. Toes’ leadership, STA has written more than 50 comment letters on a wide range of issues under the regulatory oversight of the U.S. Securities and Exchange Commission, Department of Treasury, Commodities and Futures Trading Commission (CFTC), FINRA, and the Senate and House Financial Services Committees. In addition, Mr. Toes has penned close to 100 articles on current events and human interest stories that resonate well with individual members and align with STA’s core principles.
Mr. Toes has nearly 35 years of experience in the securities business, particularly within equity and options sales, trading, and clearing. Prior to joining STA, Mr. Toes was a Managing Director at Bank of America Merrill Lynch for 18 years, where he held various management positions, interacting with a broad range of clients including institutional and middle market asset managers, broker-dealers, and retail investors. Over the course of his career, Mr. Toes has also used his breadth of market structure knowledge to serve on various best execution and market structure committees and has testified before Congress. As a past President of the Security Traders Association of New York and a former Governor and Secretary of STA, Mr. Toes has a deep understanding of the STA organization and the vital role its 24 Affiliate organizations in North America play in the success and mission of the Association.