SIFMA Association News
Read SIFMA's Pennsylvania + Wall Blog for insights on current financial and regulatory reform
SIFMA SmartBrief | May 30, 2012
Where does the financial industry go for the latest developments for using social media?
SIFMA SmartBrief | May 30, 2012
SIFMA's Tech Leaders Forum and Expo -- June 19-21, NYC
SIFMA SmartBrief | May 30, 2012
SIFMA Tech Leaders Forum and Expo 2012 is the one financial services event that combines the latest in technology trends affecting the financial industry presented by top industry experts, while allowing you to visit over 200 exhibitors and network with over 3,000 industry-leading professionals! Don't miss your opportunity to join this elite audience and connect with this global community, building your brand and increasing your company's image, which will help improve your organization's bottom-line. Our content-rich program includes today's most important industry topics: Cyber Security, Derivative Trading, Cloud Computing, Mobile Technology and Smart Devices, Creating Efficiencies and Making Tech Dollars Count, Social Media, and much more.
SIFMA Joint Professional Societies Regional Seminar -- June 5-7, Chicago
SIFMA SmartBrief | May 30, 2012
SIFMA's Financial Management Society and Internal Auditors Society are proud to host a joint regional conference at the Wyndham Hotel in Chicago on June 5-7. Join your fellow financial and audit professionals to obtain the latest industry information, while networking with your peers and earning CPE credits. Playing off the expertise in both fields, the FMS/IAS Joint Regional Conference will be a unique opportunity for professional development.
Read SIFMA's Pennsylvania + Wall Blog for insights on current financial and regulatory reform.
SIFMA SmartBrief | May 29, 2012
SIFMA Social Media Seminar -- June 20, New York City
SIFMA SmartBrief | May 29, 2012
Building on the success of our initial Social Media offerings, SIFMA's third installment of the Social Media Series will take place June 20. Using the illuminating discussions in October 2011 and February 2012 Seminars as a launching pad, this one-day event will bring together experts across multiple fields to further explore the increasingly important issues our industry faces in light of the rapidly changing and growing tools of social media. Our experts will address corporate and financial advisor marketing, client interaction, business growth, creative social media uses, legal risk analysis, and regulatory compliance.
SIFMA Compliance & Legal Society Regional Seminar -- June 13, St. Louis
SIFMA SmartBrief | May 29, 2012
SIFMA's Compliance & Legal Society cordially invites you to attend the 2012 St. Louis Regional Conference at the Ritz Carlton Hotel on June 13. This one-day seminar will feature presentations by leading securities regulators and industry professionals. Opening remarks will be provided by Ron Kruszewski, President and CEO of Stifel Nicolaus & Co. Register today and don't miss out on this opportunity to network with fellow professionals, while getting current perspectives on the industry from regulators and industry experts.
Connect with SIFMA on YouTube
SIFMA SmartBrief | May 25, 2012
See educational and informative videos about issues facing our industry on SIFMA's YouTube channel, SIFMAtv. Don't forget -- you can also connect with SIFMA on Twitter by following @SIFMA for breaking legislative and regulatory developments affecting our industry. Also, be sure to connect with colleagues by joining SIFMA's groups on LinkedIn. Join in the conversation today.
Check out your go-to hub for investor guides and industry resources
SIFMA SmartBrief | May 25, 2012
Facebook's IPO is out -- where will leaders of social media platforms meet?
SIFMA SmartBrief | May 25, 2012
SIFMA's Municipal Bond Summit -- Oct. 1, NYC
SIFMA SmartBrief | May 25, 2012
Looking forward to 2013, the municipal securities industry faces new and continuing challenges: headline risk influencing investor confidence; alternative financing solutions; federal legislative proposals affecting tax exemption; and increased regulatory scrutiny and enforcement. These challenges also present new opportunities. Be a part of SIFMA's Municipal Bond Summit and hear senior-level Industry leaders, policymakers, issuers and regulators as they present their views on these subjects and other important industry issues. Program topics include: Primary Market Dynamics, Developments in the Secondary Market, Challenges in the Retail Market, Alternative Financing Solutions, Regulatory Developments such as Dodd-Frank implementation, Volcker rule, Municipal Advisor Rule, and other SEC, FINRA and MSRB initiatives.
SIFMA Market Structure Conference -- Oct. 4, New York City
SIFMA SmartBrief | May 24, 2012
SEC Commissioner Daniel Gallagher will speak at SIFMA's 13th Annual Market Structure Conference, Oct. 4 in New York City. The gathering will be an exceptional strategic and informative conference designed for representatives from the Broker/Dealer, Institutional Sales and Trading, Buy-Side, Technology, ECN, ATS, Crossing Networks, Exchange, Order Management and Execution, and the Legal and Regulatory communities. Program topics include: Market Volatility Algorithmic, High Frequency, and High Speed Trading Single Stock Circuit Breakers/Limit Up-Limit Down Mechanism, Market-Wide Circuit Breakers, Market Liquidity, Dark Pools, and much more.
Participate in SIFMA's 2012 Compensation Surveys
SIFMA SmartBrief | May 24, 2012
Sign up now to participate in SIFMA's two annual industry compensation surveys: Management & Professional Earnings in the Securities Industry (exempt employees); and Office Salaries in the Securities Industry (non-exempt employees). Employee compensation typically accounts for about 60% of non-interest expense and is a critical factor in firm profitability. These reports include information on current-year base salary (as of May 1) as well as prior-year base salary, bonus and "other" cash compensation for 240 and 96 industry-specific positions, respectively. To participate, simply return the "Invitation to Participate" form for Management & Professional Earnings in the Securities Industry and/or Office Salaries in the Securities Industry to Nancy Cosentino by June 15. Any questions, please contact Nancy Cosentino at ncosentino@sifma.org or 212-313-1215.
AMF Buy-Side Academy: Learn about Automation Possibilities -- June 19-20, N.Y.
SIFMA SmartBrief | May 23, 2012
Come learn about the practical roadmaps of how to get automated, reduce systemic risk and increase operational efficiency, by using tools available in the industry today. Also learn about the tools that are coming in the future, and how you can ensure that your firm can take full advantage of the advances in automation. The Buy-Side Academy will consist of five seminars, moderated by senior-level buy-side practitioners, in which industry service providers and utilities will explain how their systems fit into the landscape and specific processes of the asset management industry. Seminar topics include: collateral management, cross-asset class portfolio management, U.S. equities trade cycle, life of a trade in the buy-side bank loans space, and CCP implementation for derivatives clearing.
SIFMA, FINRA and SEC career opportunities
SIFMA SmartBrief | May 22, 2012
New positions at SIFMA, FINRA and SEC are now posted on our Career Center, a forum to connect jobseekers and employers/recruiters on opportunities within the securities industry. Check in with us to post your resume, view new job listings, or view resumes/post a job.
WEDNESDAY: SIFMA Derivatives Conference -- New York City
SIFMA SmartBrief | May 21, 2012
There is still time to be a part of SIFMA's Derivatives Conference, which will discuss practical implications of the regulatory reform, what's changing in the derivatives landscape and key issues for asset managers, such as derivatives central clearing, LSOC and segregation models, counterparty risk, electronic trading on SEFs, swaps data reporting, changes to investment strategies for commodity funds and others. This conference is sponsored by SIFMA Asset Management Group and The Asset Managers Forum.
Need regular updates on specialized areas in the financial services industry?
SIFMA SmartBrief | May 18, 2012
Whether you are trying to stay informed on matters affecting global, federal or state legislative matters, or the regulatory issues of the day, SIFMA's newsletters provide you with timely and informative summaries to help you keep abreast of the changing environment of the financial services industry landscape. SIFMA's newsletters' topics also span the areas of municipal bonds, government and funding issues, and infrastructure. Sign up today for the SIFMA newsletters that will help you and your firm most. And be sure to sign up for SIFMA's Op & Tech Smartbrief to keep abreast of the news and topics you need for your firm.
Do you know where to get up to speed on the latest financial products and services?
SIFMA SmartBrief | May 18, 2012
Add the newest edition of the "Fundamentals of Municipal Bonds" to your library or Kindle
SIFMA SmartBrief | May 18, 2012
SIFMA CMS-Credit & Margin Educational Conference -- June 14, Chicago
SIFMA SmartBrief | May 17, 2012
Join the Credit & Margin Section of the SIFMA Operations and Technology Society in Chicago for an educational seminar highlighting key industry and regulatory trends affecting the Credit & Margin industry. Don't miss this opportunity to learn and network with experts and industry professionals. Topics of discussion will include operational trends in option trading, Dodd-Frank impact on broker dealers, growth in portfolio management and much more!
SIFMA Congratulates All Participants of the SIFMA Foundation's 9th Annual Stock Market Game -- Top Five High Schools Win Trip to Washington, D.C.
SIFMA SmartBrief | May 16, 2012
SIFMA congratulates this year's participants of the Stock Market Game™ -- "Capitol Hill Challenge." This year, more than 13,000 students from 400 schools participated in the SIFMA Foundation competition to teach financial literacy and expose students to fiscal policymaking. "Now more than ever, it is critically important for students to learn about the basics of savings, investing, and financial planning," said Kenneth E. Bentsen, Jr., executive vice president, public policy and advocacy at SIFMA. "The Stock Market Game™ -- 'Capitol Hill Challenge' helps our future leaders develop math, research, and team-building skills that are critical in American businesses, and a global economy." SIFMA looks forward to hosting winners in Washington, D.C. to meet their Congressman and enjoy an educational celebration of their achievement.
SIFMA Social Media Seminar -- June 20, Hilton New York
SIFMA SmartBrief | May 16, 2012
PROGRAM NOW AVAILABLE -- Building on the success of our initial Social Media offerings, SIFMA's third installment of the Social Media Series will take place June 20, 2012. Using the illuminating discussions in October 2011 and February 2012 Seminars as a launching pad, this one-day event will bring together experts across multiple fields to further explore the increasingly important issues our industry faces in light of the rapidly changing and growing tools of social media. Our experts will address corporate and financial advisor marketing, client interaction, business growth, creative social media uses, legal risk analysis, and regulatory compliance.
SIFMA's Tech Leaders Forum -- June 19, NYC
SIFMA SmartBrief | May 15, 2012
SIFMA Tech Leaders Forum and Expo 2012, is pleased to announce that Ari Fleischer, former White House press secretary, will be the Featured Luncheon Speaker on June 19. Mr. Fleischer will be joined by a dynamic line-up of speakers who include Scott O'Malia, commissioner of the Commodity Futures Trading Commission; Tom Deutsch, program director of Big Data Technologies at IBM Software Group; Peter Sondergaard, senior vice president and global head of research at Gartner; Stanley Young, chief executive officer at NYSE Technologies; Keith Collins, senior vice president and chief technology officer at SAS Institute. Be a part of the premier financial services event of the year!
THIS WEEK: SIFMA & Cleary Gottlieb Workshop: External Business Conduct Standards -- NYC
SIFMA SmartBrief | May 14, 2012
There is still time to Join SIFMA and Cleary, Gottlieb, Steen & Hamilton LLP as they present The External Business Conduct Workshop, Wednesday, May 16 in New York City. The CFTC's final and SEC's proposed rules on external business conduct requirements applicable to swap dealers and major swap participants, and security-based swap dealers and major security-based swap participants, respectively, cover their dealings with counterparties (including special entities). The requirements created by these rulemakings are far-reaching and present a number of difficult operational and compliance challenges for entities subject to them. This important and crucial workshop will offer thoughtful analysis from the industry's leading experts, who will help sift through these complex regulations and provide practical insights to help prepare your organization for upcoming business, operational and compliance challenges.
TOMORROW in NYC -- RBC's John Taft to speak on Stewardship & “serving others”
SIFMA SmartBrief | May 14, 2012
There is still time to join us tomorrow, when SIFMA will host John Taft, CEO of RBC Wealth Management (U.S.) at the SIFMA Conference Center in New York to discuss his core principle of "serving others," from his newly-released book, "Stewardship: Lessons Learned from the Lost Culture of Wall Street." Registrants will receive a FREE copy of his book on-site. This event will be hosted by the SII Society, a newly formed SIFMA Professional Society focused on leadership and professional development. Stay connected to the Securities Industry Institute, its resources and each other through membership in this new Society. Membership benefits include continuing education opportunities with exposure to Wharton faculty and industry leaders, and discounted attendance fees for Society events. Check out the SII 2012 Highlights and see what this industry tradition can mean for your leadership development.
New SIFMA Research Reports: The Industry in New York, Securities Industry Employment, Munis & more
SIFMA SmartBrief | May 11, 2012
SIFMA research reports include regular outlooks and forecasts, research quarterlies, and essential industry factbooks and yearbooks. SIFMA recently released the following reports: the U.S. Securities Industry Employment Report, Q1 2012; the U.S. Municipal Bond Credit Report, Q1 2012; the U.S. Municipal VRDO Update; and The Street, the City, and the State, 2012 -- an annual report that focuses on the important role of the financial services industry, in particular within New York City and New York state.
Are you sure you're ready for Dodd-Frank External Business Conduct Standards?
SIFMA SmartBrief | May 11, 2012
Do you know why SIFMA Tech Expo is the best place to learn about new products and services?
SIFMA SmartBrief | May 11, 2012
Ari Fleischer featured luncheon speaker at SIFMA's Tech Leaders Forum -- June 19, NYC
SIFMA SmartBrief | May 09, 2012
SIFMA Tech Leaders Forum and Expo 2012, is pleased to announce Ari Fleischer, former White House press secretary, will be the Featured Luncheon Speaker on June 19. Mr. Fleischer will be joined by a dynamic line-up of speakers that include Scott O'Malia, commissioner at Commodity Futures Trading Commission; Tom Deutsch, program director at Big Data Technologies, IBM Software Group; Peter Sondergaard, senior vice president and global head of research at Gartner; Stanley Young, chief executive officer at NYSE Technologies; and Keith Collins, senior vice president and chief technology officer at SAS Institute. Be a part of the premier financial services event of the year!
SIFMA and Cleary Gottlieb Workshop on External Business Conduct Standards -- May 16, NYC
SIFMA SmartBrief | May 09, 2012
SIFMA and Cleary Gottlieb are pleased to announce a half-day workshop: External Business Conduct Standards: Practical Insights for Adapting to Title VII Regulatory Requirements. The CFTC final rules on external business conduct requirements, covering swap dealers' and major swap participants' dealings with counterparties (including special entities) are far reaching and present a number of difficult operational and compliance issues for entities subject to the regulation. Join SIFMA and Cleary as they bring to you thoughtful analysis from the industry's leading experts, who will help sift through this complex regulation and provide practical insights preparing your organization for upcoming business, operational and compliance challenges. Learn more.
RBC Wealth Management CEO John Taft to speak on Stewardship and "serving others" -- May 15
SIFMA SmartBrief | May 08, 2012
On May 15, SIFMA will host John Taft, CEO of RBC Wealth Management (U.S.) at SIFMA's Conference Center in New York to discuss his core principle of "serving others" from his newly released book, "Stewardship: Lessons Learned from the Lost Culture of Wall Street." Registrants will receive a free copy of his book on-site. This event will be hosted by the SII Society, a newly-formed SIFMA Professional Society focused on leadership and professional development. Stay connected to the Securities Industry Institute, its resources and each other through membership in this new Society. Membership benefits include continuing education opportunities with exposure to Wharton faculty and industry leaders, and discounted attendance fees for Society events. Check out the SII 2012 Highlights and see what this industry tradition can mean for your leadership development.
Are you sure you’re ready for Dodd-Frank External Business Conduct Standards?
SIFMA SmartBrief | May 07, 2012
SIFMA Joint AMG & AMF Derivatives Conference -- May 23, NYC
SIFMA SmartBrief | May 07, 2012
SIFMA's Derivatives Conference, sponsored by the SIFMA Asset Management Group (AMG) and The Asset Managers Forum (AMF), will discuss practical implications of the regulatory reform, what’s changing in the derivatives landscape and key issues for asset managers, such as derivatives central clearing, LSOC and segregation models, counterparty risk, electronic trading on SEFs, swaps data reporting, changes to investment strategies for commodity funds and more. The program is already stacked with experts from across the industry.
Check out SIFMA's new Proxy Resource Center
SIFMA SmartBrief | May 04, 2012
What SIFMA event also gets you access to the SIFMA Tech Expo 2012 in NYC?
SIFMA SmartBrief | May 04, 2012
SIFMA welcomes 10 new members to the association
SIFMA SmartBrief | May 02, 2012
SIFMA brings together and represents the shared interests of hundreds of securities firms, banks and asset managers. SIFMA is pleased to welcome our newest Full Members to the Association: BBVA Securities, Inc., Desjardins Securities International Inc. and nabSecurities, LLC. SIFMA's Board of Directors also welcomes our newest Associate Members Alacra, Inc., Cohen & Gresser LLP, Cravath, Swaine & Moore LLP, Dealogic, Gibson Dunn & Crutcher LLP, Pegasystems, Inc. and Richards Kibbe & Orbe LLP. SIFMA members have discounted access to SIFMA events, such as our Technology Expo and Leaders Forum on June 19-21 in New York City, and to special online content, services and advocacy. Is your firm part of SIFMA? Check out our Member Directory to find out. Not a member? Find out how to join.
Senior technology providers will speak at this year's Tech Leaders Forum -- June 19-21, NYC
SIFMA SmartBrief | May 02, 2012
SIFMA Tech Leaders Forum and Expo 2012, "Managing Today's Realities," is the industry's premier financial services event. Join us as we welcome our featured technology speakers: Tom Deutsch, program director, Big Data Technologies, IBM Software Group; Keith Collins, senior vice president and chief technology officer, SAS Institute; Satyam Kancharla, senior vice president, Client Solutions, NUMERIX; Peter Sirota, general manager of Amazon Elastic MapReduce, Amazon Web Services; Jerry Canning, industry director, Finance, Google; and Norv Leong, director of product marketing, Actiance Software. This is a must-attend event for senior-level technology and operations, legal and regulatory, compliance, risk, trading and strategic development professionals.
REGISTRATION OPEN! SIFMA's Municipal Bond Summit -- Oct. 1, NYC
SIFMA SmartBrief | May 01, 2012
Looking forward to 2013, the municipal securities industry faces new and continuing challenges: headline risk influencing investor confidence; alternative financing solutions; federal legislative proposals affecting tax exemption; and increased regulatory scrutiny and enforcement. These challenges also present new opportunities. Be a part of SIFMA's Municipal Bond Summit and hear senior-level Industry leaders, policymakers, issuers and regulators as they present their views on these subjects and other important industry issues. Program topics include: primary market dynamics, developments in the secondary market, challenges in the retail market, alternative financing solutions, regulatory developments such as Dodd-Frank implementation, Volcker rule, Municipal Advisor rule, and other SEC, FINRA and MSRB initiatives.
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