SIFMA Association News
@Path to Investing -- A Quarterly Newsletter
SIFMA SmartBrief | Aug 27, 2008
Pathtoinvesting.org, a Web site sponsored by the SIFMA Foundation for Investor Education, is committed to providing readers with a resource for clear, objective financial information. And now, @Path to Investing, our new quarterly newsletter, brings the latest content, current investing topics and recent updates directly to your computer. Click here to subscribe to @PathtoInvesting and be sure to visit www.pathtoinvesting.org today to take advantage of the broad array of investor-education resources.
Sales and Marketing Conference, Oct. 2 and 3, New York
SIFMA SmartBrief | Aug 27, 2008
You don't want to miss North America's premier conference for sales and marketing managers in private-client groups at global and regional broker-dealers. SIFMA's 31st Annual Sales and Marketing Conference will address many tactical ways to enhance client service, increase sales, leverage marketing innovations, augment wealth-management strategies, prepare clients for the financial adjustments related to retirement and leverage global economic conditions. Register or learn more about this event.
ETechnology North American Conference & Exhibit: Trading/Risk Strategies & Systems, Sept. 16, New York
SIFMA SmartBrief | Aug 26, 2008
Don't miss the year's top event for the eTrading community. SIFMA's eTechnology North American Conference & Exhibit is a one-day program that covers both equities and fixed income. This program is designed by industry insiders and will discuss the latest trends and challenges in technology and risk assessment. Register or learn more about this event.
SIFMA Roundtables -- Continuing Education and Training Managers' -- Oct. 16 and 17, Orlando, Fla.
SIFMA SmartBrief | Aug 26, 2008
You're Invited! The Continuing Education Roundtable and the Training Managers' Roundtable provide professional and informational networking forums to discuss the common issues and practices we face daily in delivering training and education programs. SIFMA Roundtable participants broaden their skill set and knowledge base through these unique peer-to-peer dialogue opportunities. Register for the Continuing Education Roundtable and view the agenda. Register for the Training Managers' Roundtable and view the agenda.
Annual Meeting, Oct. 28, New York
SIFMA SmartBrief | Aug 25, 2008
Given the evolving state of the marketplace, the upcoming presidential election and impending regulatory changes, it is more critical than ever for you to attend this year's SIFMA Annual Meeting. Don't miss U.S. Treasury Secretary Henry M. Paulson as this year's featured speaker, along with Lawrence Summers, the former U.S. Treasury secretary and president of Harvard. Paulson and other premier industry speakers will provide cutting-edge content on the latest issues affecting both equity and fixed-income capital markets. Register or learn more about this event.
Participate Now in SIFMA's Merit Budgets, Bonuses & Benefits in 2009
SIFMA SmartBrief | Aug 25, 2008
Participate now in SIFMA's annual survey, Merit Budgets, Bonuses & Benefits. This year's survey collects data on projected merit budgets for 2009 and actual merit budgets for 2008. It also asks for the projected increases among participating firms in employee benefits and health care costs, respectively. This survey covers executive, exempt and nonexempt employees and is open to SIFMA members, who can submit questionnaires anytime until Aug. 29. There is no cost to participate, and firms that return a completed questionnaire receive a complimentary copy of the survey report. Please contact Nancy Cosentino with any questions.
SIFMA's Report on Compensation of Top Management in Small and Regional Firms 2007 Now Available for Purchase
SIFMA SmartBrief | Aug 22, 2008
This year's Report on Compensation of Top Management in Small and Regional Firms provides compensation data for 18 top senior executive positions at participating firms. For these positions, this study provides information on short- and long-term incentives, retirement plans and executive perquisites and base salary. Numerous summary tables and position-by-position data arrays are provided. Data in this year's report come from 27 SIFMA member firms, which, in 2007, employed more than 18,000 individuals and generated nearly $9 billion in gross revenues. To learn more and buy a PDF version of the full report, please click here, or contact Nancy Cosentino.
Electronic Communications and Records Forum, Sept. 24, New York
SIFMA SmartBrief | Aug 21, 2008
New technology is placing pressure on financial institutions to change their methods of retaining, storing and supervising electronic communications and records. SIFMA's Electronic Communications and Records Forum is a half-day event addressing regulations, enforcement and examination implications, and the practicalities and pitfalls of electronic records for financial institutions in an ever-changing technological world. Register or learn more about this event.
Master Repurchase Agreement "Mini closeout" Provision proposed; SIFMA welcomes industry comments
SIFMA SmartBrief | Aug 21, 2008
SIFMA's funding division is proposing an "Optional Mini Closeout Provision" for use with the Master Repurchase Agreement (MRA). The provision would permit a nondefaulting party in a failed securities delivery in a repo transaction under the MRA to elect to close out only the failing transaction. In addition, the provision would permit a nonfailing party to margin a failure to deliver if it does not exercise its closeout remedies. This standardized provision could be added as an Annex to the MRA if the parties deem it necessary. The updated document can be found here. SIFMA welcomes comments on the draft provision until Aug. 22 by contacting Rob Toomey at rtoomey@sifma.org
Foreign Corrupt Practices Act Seminar, Oct. 7, New York
SIFMA SmartBrief | Aug 20, 2008
As governments are taking tougher stands on corruption with record-setting fines and sanctions, join with experts from the industry and government as they discuss effective anti-compliances programs that are essential for all firms. This conference will be the focal point for the leading experts to share their insights, provide guidance and address participants' questions and concerns. This is a must for every firm. Register or learn more about this event.
Fixed Income & Derivatives Operations Conference, Oct. 1 to 3, Miami
SIFMA SmartBrief | Aug 19, 2008
Sign up now to hear senior buy- and sell-side industry participants discuss new innovative technologies, regulatory initiatives, market trends and practices and ways to advance the industry's operations goals for the fixed-income and derivatives markets. Don't miss featured speakers Frederic Hannequart, executive director and chairman of Euroclear Bank SA/NV, and Anthony W. Ryan, assistant secretary of the Treasury for financial markets at the U.S. Department of the Treasury. Register or learn more about the event.
Options Symbology Symposium, Sept. 23, New York
SIFMA SmartBrief | Aug 19, 2008
With the Options Symbology Initiative soon to be implemented, make sure you are preparing for this major industry action at SIFMA's Options Symbology Symposium. The program will provide a current overview of the project, the implementation timeline, best-practices guidance and an extensive review of the industry test scripts to be released in the beginning of September. Register or learn more about this event.
Business Continuity Planning Conference, Oct. 22, New York
SIFMA SmartBrief | Aug 18, 2008
Widely recognized as one of the most innovative business-continuity events, SIFMA's Business Continuity Planning Conference brings together business-continuity, disaster-recover, emergency-management, security and legal professionals from multiple industries and government organizations. Topics to be addressed include discussions on the latest business-continuity management techniques, telecommuting strategies and challenges, emergency-notification systems and much more. Regardless of skill level, you will return with expanded knowledge, new contacts, innovative strategies and fresh ideas. Register or learn more about this event.
Research Management Conference, Sept. 26, New York
SIFMA SmartBrief | Aug 15, 2008
Five years have passed since the Global Research Settlement, and the business world is still evolving from the historic agreement. SIFMA's intense one-day Research Management Conference will discuss the future of research regulation as well as evaluate the ongoing and new unintended consequences of rules and regulations. The keynote speaker this year is Erik R. Sirri, director for the Division of Trading and Markets for the U.S. Securities and Exchange Commission. Register or learn more about the event.
SIFMA's Report on Compensation of Top Management in Small and Regional Firms 2007 Now Available For Purchase
SIFMA SmartBrief | Aug 13, 2008
This year's Report on Compensation of Top Management in Small and Regional Firms provides compensation data for 18 top senior executive positions at participating firms. For these positions, this study provides information on short- and long-term incentives, retirement plans and executive perquisites and base salary. Numerous summary tables and position-by-position data arrays are provided. Data in this year's report come from 27 SIFMA member firms, which, in 2007, employed more than 18,000 individuals and generated nearly $9 billion in gross revenues. To learn more and buy a PDF version of the full report, please click here, or contact Nancy Cosentino.
New leaders elected for SIFMA's asset-management group
SIFMA SmartBrief | Aug 12, 2008
SIFMA's asset-management group has elected new leaders to head the voice of the securities industry's buy-side players. Pimco Chief Operating Officer Richard Weil was picked as chairman of the asset-management group. Joan Binstock was elected the group's vice chairwoman, and Mark Hemenetz was named treasurer. Binstock is chief operations officer at Lord Abbett & Co. LLC in Jersey City, N.J. Hemenetz is chief operating officer at Schroder Investment Management North America Inc. in New York. Read the full SIFMA press release.
Sign up for SIFMA SmartBrief
Latest Blog Postsview more
Kerry to McCain: Who s the Flip-Flopper Now?
Wall Street Journal/Washington Wire, The
Convention Video: Clinton Calls for Obama s Nomination
Wall Street Journal/Washington Wire, The
Kerry? Kerry Who?
RealClearPolitics Blog, The
Bill Clinton: I Am Here First to Support Barack Obama'
Wall Street Journal/Washington Wire, The
Companies in the news
- Australia Ltd
- Chinatrust Financial Holding Co
- Commerzbank AG
- Federal Deposit Insurance Corp
- Goldman Sachs Group Inc.
- Imperial Bank
- Invesco
- Lehman Brothers
- Lehman Brothers Holdings
- Merchants Bank
- Morgan Stanley
- Pacific Investment Management Co
- Saudi British Bank
- Td Ameritrade Holding
- The Bear Stearns Companies Inc.