SIFMA Association News
Curious about what you might have missed out on at SIFMA's Annual Meeting 2009?
SIFMA SmartBrief | Nov 06, 2009
Some of the most prominent people in financial services addressed an audience of senior executives at SIFMA's Annual Meeting 2009. Mary Schapiro, chairman of the Securities and Exchange Commission, and Richard Ketchum, chairman and CEO of the Financial Industry Regulatory Authority, were only two of the speakers who addressed the crowd at the New York Marriott Marquis hotel, while Charlie Rose had conversations with Jamie Dimon, chairman and CEO of JPMorgan Chase, and Treasury Secretary Timothy Geithner. Additionally, special panels were convened to focus on three areas of the market that have attracted considerable attention: the changing landscape for financial advisers, municipal securities and market structure. See more of what you might have missed.
Asset Management Report: Investment industry developments, SIFMA AMG advocacy, legislative/regulatory proposals, sell-side issues
SIFMA SmartBrief | Nov 06, 2009
Learn about SIFMA's advocacy efforts for OTC derivatives
SIFMA SmartBrief | Nov 06, 2009
The Asset Managers Forum Corporate Actions Committee sends letter to SEC
SIFMA SmartBrief | Nov 06, 2009
SIFMA's The Asset Managers Forum Corporate Actions Committee sent a letter to the Securities and Exchange Commission in support of the "Issue to Investor: Corporate Actions" initiative, led by The Depository Trust & Clearing Corp., the Society for Worldwide Interbank Financial Telecommunication and eXtensible Business Reporting Language. The committee stated that it supports this initiative because it addresses a common issue that all market participants face, the effective processing of corporate reporting, such as issuer-announced corporate actions. The letter, addressed to Meredith Cross, director of the SEC Division of Corporate Finance, discusses many issues that would be helped by standardizing issuer-announced corporate actions by requiring issuers to use the XBRL. Read the committee's letter to the SEC. Learn more about SIFMA's The Asset Managers Forum.
SIFMA Research Quarterly for Q3 is available
SIFMA SmartBrief | Nov 05, 2009
SIFMA released its third-quarter 2009 Research Quarterly. The report provides market participants and observers research and statistics on key areas of capital markets. Areas of the markets that are featured in the report include municipal bonds, Treasuries, federal agency debt, funding and money-market instruments, mortgage-related securities, asset-backed securities, collateralized debt obligations, corporate bonds, equity, and leveraged loans. Read the complete SIFMA Research Quarterly.
Washington Weekly/Global Weekly -- Legislative action, hearings, bills and upcoming hearings, plus SIFMA activities and European issues
SIFMA SmartBrief | Nov 05, 2009
SIFMA Foundation hosts professional-development day for teachers in New York City
SIFMA SmartBrief | Nov 05, 2009
The SIFMA Foundation for Investor Education hosted The Stock Market Game Professional Development Day in New York. The event, sponsored by Fidelity Investments, brought 140 teachers together to gain valuable insight into methods for raising students' scores in mathematics, economics and personal finance by using The Stock Market Game in their classroom. New York state Sen. Daniel Squadron spoke at the event. "The financial crisis our country is weathering makes it clear how important it is for all Americans to be financially fluent," he said. "That's why the work the SIMFA Foundation does to bring financial-fluency training to teachers is so important." Learn more about the SIFMA Foundation.
Rate Update from Fed, Treasury and other financial information
SIFMA SmartBrief | Nov 04, 2009
Back-to-school night: Reception provides preview of 2010 Securities Industry Institute
SIFMA SmartBrief | Nov 04, 2009
Class was in session early on the evening of Sept. 23 when faculty from the Securities Industry Institute, the premier executive-education program for the financial services industry, provided industry practitioners a sample of what the program has to offer. Hosted by SIFMA and held at the SIFMA Conference Center in New York City, the program allowed attendees to listen to three faculty members, including Jeremy J. Siegel, talk about their perspective on markets, leadership and regaining trust. Learn more about the reception and the 2010 Securities Industry Institute.
Regulatory Update -- SIFMA's advocacy for regulatory reform
SIFMA SmartBrief | Nov 03, 2009
News, hearings and more affecting Private Client issues
SIFMA SmartBrief | Nov 02, 2009
AFME: A new trade body for Europe
SIFMA SmartBrief | Nov 02, 2009
As regulation of financial markets takes on an increasingly global dimension, the London Investment Banking Association and the European operations of SIFMA joined forces to form the Association for Financial Markets in Europe. Former affiliates of SIFMA -- the European Covered Bond Dealers Association, the European High Yield Association, the European Primary Dealers Association, the European Securities Services Forum and the European Securitisation Forum -- will be integrated into AFME's business-policy divisions. Learn more.
SIFMA Foundation for Investor Education
SIFMA SmartBrief | Oct 30, 2009
For more than 33 years, the SIFMA Foundation for Investor Education has administered an array of award-winning instructional programs that advanced the financial knowledge of millions of Americans of all ages, supported the efforts of the nation's fourth- through 12th-grade teachers, partnered with many key leaders and organizations in the field, and provided tools to help individuals increase their understanding of personal finance. Learn more about the SIFMA Foundation.
Asset Management Report, sell-side issues and legislative/regulatory proposals
SIFMA SmartBrief | Oct 30, 2009
Curious what you might have missed out on at SIFMA's 2009 Annual Meeting?
SIFMA SmartBrief | Oct 29, 2009
On Oct. 27, some of the most prominent people in financial services addressed an audience of senior financial services executives at SIFMA's 2009 Annual Meeting. Mary Schapiro, chairman of the Securities and Exchange Commission, and Richard Ketchum, chairman and chief executive officer of FINRA, were just two of the speakers who addressed the crowd at the New York Marriott Marquis, while Charlie Rose had conversations with Jamie Dimon, chairman and chief executive officer of JPMorgan Chase, and Timothy Geithner, U.S. Department of the Treasury secretary. Additionally, special panels were convened to focus on three areas of the market that have been attracting considerable attention -- the changing landscape for financial advisors, municipal securities and market structure. See more of what you might have missed.
Current news, hearings, etc. affecting Private Client issues
SIFMA SmartBrief | Oct 27, 2009
The SIFMA Asset Managers Forum chairman reviews the AMF's achievements for fiscal year 2008/2009
SIFMA SmartBrief | Oct 27, 2009
Steve Chittenden, Loomis Sayles, chair of the SIFMA Asset Managers Forum, states that this fiscal year has been both a rewarding and challenging year at the AMF, and discusses the following AMF initiatives: derivatives operations; Treasury fail charge implementation; corporate actions; events and training program. Read more about the AMF Chairman's Review.
Join us for a conversation with Treasury Secretary Timothy Geithner at SIFMA's Annual Meeting -- TUESDAY at New York Marriott Marquis in New York City
SIFMA SmartBrief | Oct 26, 2009
The theme of this year's annual meeting will focus on building a fresh foundation for investor confidence as well as economic stability and growth. Speakers scheduled to appear include Jamie Dimon, chairman and CEO of JPMorgan Chase; Richard Ketchum, chairman and CEO of the Financial Industry Regulatory Authority; and Mary Schapiro, chairman of the Securities and Exchange Commission. Register now!
SIFMA files amicus brief in Holmes v. Grubman
SIFMA SmartBrief | Oct 23, 2009
On Oct. 16, SIFMA filed an amicus brief in the U.S. Court of Appeals (2nd Circuit) in the case of Holmes v. Grubman. The two issues at the core of Holmes v. Grubman are: 1) whether, in sharp contrast to well-settled federal law, Georgia should recognize so called "holder" claims in securities cases (i.e., claims by persons who concede they did not purchase or sell securities as a result of an alleged misstatement, but rather assert that they decided not to sell securities as a result of the misstatement); and 2) whether proximate cause is adequately pleaded under Georgia law when a plaintiff alleges that his injury was a reasonably foreseeable result of defendant's false or misleading statements but does not allege that the truth concealed by the defendant entered the marketplace, thereby precipitating a drop in the price of the security. Read SIFMA's amicus brief.
Join us for a conversation with Treasury Secretary Timothy Geithner at SIFMA's Annual Meeting -- Oct. 27 at New York Marriott Marquis in New York City
SIFMA SmartBrief | Oct 23, 2009
The theme of this year's annual meeting will focus on building a fresh foundation for investor confidence as well as economic stability and growth. Speakers scheduled to appear include Jamie Dimon, chairman and CEO of JPMorgan Chase; Richard Ketchum, chairman and CEO of the Financial Industry Regulatory Authority; and Mary Schapiro, chairman of the Securities and Exchange Commission. Register now!
Weekly news from Washington and Europe
SIFMA SmartBrief | Oct 22, 2009
Back to School Night: 2010 Securities Industry Institute previewed at reception
SIFMA SmartBrief | Oct 22, 2009
Class was in session early in the evening of Sept. 23, when faculty from the Securities Industry Institute -- the premier executive-education program for the financial services industry -- provided an audience of industry practitioners a sample of what the program has to offer. Hosted by the Securities Industry and Financial Markets Association and held at the SIFMA Conference Center in New York, attendees listened to three faculty members, including Dr. Jeremy J. Siegel, talk about their perspective on the markets, leadership and regaining trust. Learn more about the reception and the 2010 Securities Industry Institute.
Independent study finds playing SIFMA Foundation's Stock Market Game™ yields substantial gains for student achievement
SIFMA SmartBrief | Oct 21, 2009
Learning Point Associates announced that a rigorous, randomized, controlled trial of the SIFMA Foundation's Stock Market Game found that students who played the game scored significantly higher on mathematics tests than peers who did not. The yearlong study also showed that students who played the game significantly outperformed their peers in their knowledge of financial concepts. Read SIFMA's news release.
Rate update from Fed, Treasury and other financial information
SIFMA SmartBrief | Oct 21, 2009
AICPA/SIFMA Financial Management Division National Conference on the Securities Industry -- Wednesday and Thursday in New York City
SIFMA SmartBrief | Oct 19, 2009
The AICPA/SIFMA Financial Management Division National Conference on the Securities Industry, scheduled for Wednesday and Thursday in New York City, is fast approaching. SIFMA-FMD understands that senior financial executives of securities firms must be in front of industry and regulatory initiatives, in addition to staying on top of key accounting developments. The conference combines required technical education on accounting and auditing developments with regulatory, economic and securities industry topics that senior finance executives at securities firms need to know. We have a great lineup of key government and industry experts and a regulatory forum at which you can get your questions answered directly from regulators. Register now!
AICPA/SIFMA Financial Management Division National Conference on the Securities Industry -- WEDNESDAY and Oct. 22 in New York City
SIFMA SmartBrief | Oct 15, 2009
The AICPA/SIFMA Financial Management Division National Conference on the Securities Industry, scheduled Wednesday and Oct. 22 in New York City, is fast approaching. SIFMA-FMD understands that senior financial executives of securities firms must be in front of industry and regulatory initiatives, in addition to staying on top of key accounting developments. The conference combines required technical education on accounting and auditing developments with regulatory, economic and securities industry topics that senior finance executives at securities firms need to know. We have a great lineup of key government and industry experts and a regulatory forum at which you can get your questions answered directly from regulators. Register now!
AICPA/SIFMA Financial Management Division National Conference on the Securities Industry -- Oct. 21 and 22 in New York City
SIFMA SmartBrief | Oct 14, 2009
The AICPA/SIFMA Financial Management Division National Conference on the Securities Industry, scheduled Oct. 21 and 22 in New York City, is fast approaching. SIFMA-FMD understands that senior financial executives of securities firms must be in front of industry and regulatory initiatives, in addition to staying on top of key accounting developments. The conference combines required technical education on accounting and auditing developments with regulatory, economic and securities industry topics that senior finance executives at securities firms need to know. We have a great lineup of key government and industry experts and a regulatory forum at which you can get your questions answered directly from regulators. Register now!
SIFMA to lead industrywide business-continuity test Oct. 24
SIFMA SmartBrief | Oct 13, 2009
SIFMA, the Futures Industry Association and the Financial Information Forum will lead the 2009 industrywide business-continuity test Oct. 24. The test will follow the format of prior industrywide tests, in which firms submit test orders and transactions from their backup sites to markets and utilities. The exercise will involve test transactions for equities, options, futures, fixed income, settlement and payments. The test is supported by all major exchanges, markets and industry utilities. SIFMA will compile aggregate results but will not reveal the individual performance of any organization. Register for the industrywide test.
SIFMA testifies before congressional panels
SIFMA SmartBrief | Oct 09, 2009
Because of its expertise, SIFMA was called to testify before two House Financial Services Committee panels, while the American Securitization Forum, an affiliate of SIFMA, was called to testify before a Senate banking subcommittee. John Taft, head of U.S. wealth management at RBC Wealth Management and chairman of the SIFMA Private Client Group Steering Committee testified before the House Financial Services Committee on strengthening investor protection through capital markets' regulatory reform. James Hill, managing director of Morgan Stanley, testified before the House Financial Services Committee on reforming the derivatives market. George Miller, executive director of ASF, testified before a Senate banking subcommittee on the securitization of assets. SIFMA continues to be a vital resource for Congress as it considers reforms and matters that concern the financial-services industry.
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