The C&L Annual Seminar is hosted by SIFMA’s Compliance & Legal Society; our program is designed by a dedicated and passionate group of executives that volunteer for our Executive and … Continue reading SIFMA – Annual Conference
SIFMA sponsors Quarterly Conferences. Conferences feature leading experts with working knowledge of the theory as well as the practical application of each issue. In an afternoon, a member can attend … Continue reading SIFMA – Quarterly Conference
SIFMA sponsors Quarterly Conferences. Conferences feature leading experts with working knowledge of the theory as well as the practical application of each issue. In an afternoon, a member can attend … Continue reading SIFMA – Quarterly Conference
The C&L Annual Seminar is hosted by SIFMA’s Compliance & Legal Society; our program is designed by a dedicated and passionate group of executives that volunteer for our Executive and … Continue reading SIFMA – Annual Conference
SIFMA sponsors Quarterly Conferences. Conferences feature leading experts with working knowledge of the theory as well as the practical application of each issue. In an afternoon, a member can attend … Continue reading SIFMA – Quarterly Conference
SIFMA sponsors Quarterly Conferences. Conferences feature leading experts with working knowledge of the theory as well as the practical application of each issue. In an afternoon, a member can attend … Continue reading SIFMA – Quarterly Conference
The C&L Annual Seminar is hosted by SIFMA’s Compliance & Legal Society; our program is designed by a dedicated and passionate group of executives that volunteer for our Executive and … Continue reading SIFMA – Annual Conference
Join senior executives and regulatory policymakers at The National Conference on the Securities Industry this fall to examine the latest developments in evolving securities regulations, auditing and accounting requirements. Hosted … Continue reading SIFMA – AICPA and SIFMA FMS National Conference on the Securities Industry
The Global Corporate Actions Forum brings together operations and technology professionals from broker-dealers, banks, asset managers, service providers and clearing firms to discuss the latest regulations, challenges, best practices and … Continue reading SIFMA – Global Corporate Actions Forum
SIFMA’s Fintech Conference brings together innovators, industry leaders and policymakers in New York City to discuss the emerging fintech evolution and how existing regulatory frameworks can accommodate new transformative technologies.
The C&L Society Charlotte Regional Seminar gathers compliance and legal professionals working in the financial services industry to exchange ideas, strategies and guidance on ways to gain a competitive advantage … Continue reading SIFMA – Compliance & Legal Society Charlotte Regional Seminar
The SIFMA Equity Market Structure Conference is a one-stop resource for updates from the industry’s leading experts on today’s markets and the ever-evolving regulatory framework that guides them. Join market … Continue reading SIFMA – Equity Market Structure Conference
The C&L Society San Francisco Regional Seminar gathers compliance and legal professionals working in the financial services industry
Stephanie Avakian and Steven Peikin, Co-Directors of the Division of Enforcement, will participate in a panel at SIFMA’s Compliance and Legal Society Annual Seminar. Agenda details.
Join senior executives and regulatory policymakers at The National Conference on the Securities Industry this fall to examine the latest developments in evolving securities regulations, auditing and accounting requirements. Hosted … Continue reading AICPA and SIFMA FMS National Conference on the Securities Industry
Each fall, SIFMA’s Annual Meeting gathers in Washington, D.C. for candid one-on-one conversations and in-depth breakout sessions on the state of our capital markets. Mark your calendar to join us … Continue reading SIFMA Annual Meeting
FinTech continues to drive the transformation of the securities industry: artificial intelligence and machine learning are giving firms new insights, blockchain projects are moving closer to production, and robotics are … Continue reading SIFMA’s FinTech Conference
SIFMA Equity Market Structure Conference is a one-stop resource for updates from the industry’s leading experts on today’s markets and the ever-evolving regulatory framework that guides them. Join equity market … Continue reading Equity Market Structure Conference
Join the Corporate Actions Section for our annual DTCC Seminar, covering the latest updates in operations, tax, product enhancements and more! All CAS Members are entitled to one complimentary event … Continue reading SIFMA Operations and Technology Society: Corporate Actions Section DTCC Seminar
SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. Celebrating its 50th anniversary, the 2018 Annual Seminar provides a unique … Continue reading SIFMA C&L Annual Seminar
The SIFMA Compliance & Legal Society will host a breakfast in Chicago on November 10, 2017 at Mesirow Financial. For registration questions, please contact SIFMA Compliance & Legal Society.
The session will cover the life-cycle of a trade from booking through its accounting on books and records. The session will also cover control environments around securities operations and will … Continue reading SIFMA FMS Fundamental Training Securities Operations
The SIFMA Internal Auditors Society (IAS) Annual Conference will examine how the Internal Audit, Risk Management and Compliance roles are evolving and responding to change and uncertainty on a global … Continue reading Internal Auditors Society Annual Conference
Join several hundred of your colleagues at the C&L Society Regional Seminar in New York City on November 2nd at the Marriott Marquis. This one day seminar will feature presentations … Continue reading C&L Society New York Regional Seminar
SIFMA’s Listed Options Symposium brings together industry leaders, representing various roles across the market segment, for in-depth discussions on the state of the options market, and the challenges and opportunities … Continue reading Listed Options Symposium
SIFMA’s Social Media Seminar is the leading forum for Business, Marketing and Compliance professionals in Wealth Management to explore how to maximize the use of social media platforms while adhering … Continue reading SIFMA Social Media and Digital Marketing Seminar
SIFMA’s Annual Meeting returns to Washington, D.C. this fall for candid one-on-one conversations and in-depth breakout sessions on the state of our capital markets. Join SIFMA for expert insights and unparalleled … Continue reading SIFMA’s Annual Meeting – The Capital Markets Conference
SIFMA Equity Market Structure Conference is a one-stop resource for updates from the industry’s leading experts on today’s markets and the ever-evolving regulatory framework that guides them. Join equity market … Continue reading SIFMA Equity Market Structure Conference
Join the Operations & Technology Society for their first town hall webinar of 2017! All members of CAS, CAT, CMS and SOS are welcome.
SIFMA’s FinTech Conference will bring together innovators and industry leaders to discuss the latest developments in robo advising, robotics, artificial intelligence, machine learning and blockchain experiments – and how these … Continue reading SIFMA FINTECH Conference
Whether your focus in Operations is Leadership Management, Information Technology, Risk Management, Legal and Compliance, or Clearance and Settlement, SIFMA’s Operations Conference and Exhibition delivers a comprehensive program tailored to the … Continue reading SIFMA’s 44th Annual Operations Conference and Exhibition 2017
SIFMA’s Listed Options Symposium is a New York City event that brings together industry leaders representing retail, market makers and institutional participants, as well as exchange and regulatory experts. Join … Continue reading SIFMA’s Listed Options Symposium
The SIFMA Internal Auditors Society (IAS) Annual Conference will examine how Securities Industry audit, risk management and compliance leaders are responding to global challenges including geopolitical, economic, technology, cyber threats … Continue reading SIFMA Internal Auditors Society (IAS) Annual Conference
SIFMA and the SIFMA Foundation invite you to join us on October 5th for a special evening to celebrate champions of youth financial education and raise awareness for this important cause. … Continue reading SIFMA Foundation Tribute Dinner
Mark Your Calendar for the CAT FAll Seminar, taking place October 4-5 in Tempe, Arizona!
SIFMA’s 2016 Annual Meeting By popular demand, SIFMA’s Annual Meeting will return to our nation’s capital this fall for candid one-on-one conversations, in-depth breakout sessions and expert insights on the … Continue reading SIFMA 2016 Annual Meeting
Celebrating its 16th year, SIFMA’s C&L Anti-Money Laundering & Financial Crimes Conference gathered more than 400 compliance and legal professionals from April 5-6 at the Marriott Marquis in New York … Continue reading SIFMA’s Anti-Money Laundering & Financial Crimes Conference
Deloitte and SIFMA invite you to participate in a luncheon on June 28, 2016 at SIFMA’s Conference Center in New York City. The growing need to comply with regulatory requirements … Continue reading SIFMA’s Archiving, Surveillance, & Regulatory Data Management Luncheon
On June 15, 2016 the SEC approved FINRA’s rule proposal to implement requirements for transactions in the To-Be-Announced (TBA) market and other Agency MBS mortgage markets. This one-hour complimentary webinar … Continue reading SIFMA Webinar: Securitization Spotlight – FINRA Rule 4210
The National Conference on the Securities Industry , hosted by the American Institute of CPAs (AICPA) and SIFMA’s Financial Management Society, provides essential updates on evolving securities regulations and compliance … Continue reading AICPA & SIFMA 2016 National Conference on the Securities Industry
Join SIFMA’s Corporate Actions Section for the 13th annual Global Corporate Actions Forum in Boston. Connect with fellow industry professionals and hear from leading subject matter experts as they examine … Continue reading SIFMA’s 13th Annual Global Corporate Actions Forum
SIFMA’s Next Generation of Financial Advisors Seminar provides an opportunity for industry professionals to gather and discuss industry solutions to recruiting and training the next generation of financial advisors. Speakers … Continue reading SIFMA’s Next Gen Financial Advisors Seminar
Join SIFMA members at the C & L Society Regional Conference on August 4 hosted at the Charles Schwab Conference Center in San Francisco. This one day seminar will feature presentations by … Continue reading SIFMA Compliance & Legal Society Regional Seminar
Over the next 10-plus years, 10,000 Americans will turn 65 every day, with these investors accounting for more than 75 percent of financial assets in the United States. Seniors’ significant … Continue reading FINRA/SIFMA Senior Investor Conference
The Securities Industry and Financial Markets Association (SIFMA) recently released its annual U.S Securitization Year in Review report. The report offers a consolidated review of the U.S securitization markets in … Continue reading SIFMA releases 2015 Securitization Year in Review
Every financial firm has an obligation to be vigilant in our industry’s commitment to cybersecurity. As cyber attacks become more frequent and destructive, cyber insurance policies can offer critical protections to complement your risk management program.
SIFMA, FireEye, DeWitt Stern and ACE Group, a leading provider of cyber insurance, are providing a cyber insurance webinar to learn more about the current cybersecurity landscape and the SIFMA Cyber Insurance Program. Participants will be provided an opportunity for in-depth Q&A.
The Securities Industry Institute, SIFMA’s premier executive education program held in partnership with The Wharton School, is being offered March 6 – 11, 2016.
The program provides access to world-class faculty from Wharton and other leading universities and exposure from industry experts in the latest trends in the industry, prepares you for the uncertain shifts in the market, provides networking opportunities that enable you to build your network, business and perspective, and you will receive a SIFMA/Wharton Certificate upon graduation.
Registration is now open for the SIFMA 2016 Compliance & Legal Society Annual Seminar on March 13–16 at the Hilton Orlando Bonnet Creek. Compliance and legal professionals participate in SIFMA’s our interactive program with more than 65 dynamic panels and sessions that focus on the current regulatory and legal developments impacting the industry.
Leaders of the financial services industry will gather in the nation’s capital at the 2015 SIFMA Annual Meeting: The Capital Markets Conference to discuss challenges and the ways the industry can … Continue reading SIFMA Annual Meeting 2015
Speakers will share their experience and perspectives on how women can best position themselves to identify opportunities emerging from changes in regulation and technology, and insights on how to carve … Continue reading Women in Asset Management
The T+2 Industry Steering Committee (T + 2 ISC) has released a white paper outlining the timeline and activities required to move to a two-day settlement cycle (T+2) in the U.S. … Continue reading T + 2 Settlement Cycle White Paper Released
SIFMA’s Volcker Rule Seminar, on September 30th at the SIFMA Conference Center in New York City, will bring together experts from the industry, government and law firms to discuss the current compliance and enforcement issues post the July 21st compliance date.
Stephen Luparello, SEC Director of Trading and Markets, will deliver the keynote address at the T+2 Symposium: The Road to a Shortened Settlement Cycle, in NYC on Sept. 17. Senior … Continue reading SIFMA: T + 2 Symposium
The SIFMA Global Tax Reporting Symposium, providing in-depth perspective on financial services reporting and withholding in today’s global marketplace, will bring together industry and government experts to discuss three evolving … Continue reading SIFMA Global Tax Reporting Symposium
SIFMA’s Senior Investors Forum: Serving the Needs of Our Aging Investors brings together advisors, regulators, compliance officers, attorneys and academic experts to discuss the innovative practices in place to ensure … Continue reading SIFMA’s Senior Investors Forum
Join industry and regulatory leaders in Chicago on June 17-19 for the latest economic developments as well as important updates on accounting, tax rules and proposals, and regulations. New to … Continue reading 2015 SIFMA FMS Regional Conference
SIFMA’s Economic Advisory Roundtable has issued its semiannual survey of concerning the U.S. economic outlook and rates forecasts. For a summary of the survey and access to the full survey, Click Here.
Chairman and CEO of Stifel and member of the SIFMA Board of Directors, testified on behalf of SIFMA this week before the House Financial Services Subcommittee on Capital Markets and … Continue reading SIFMA Testifies on Legislative Proposals to Enhance Capital Formation and Reduce Regulatory Burdens
The Next Generation of Financial Advisors Seminar will provide a forum to discuss the numerous opportunities to recruit and train the next generation of financial advisors. Speakers and panelists will … Continue reading Next Generation of Financial Advisors Seminar
The SIFMA Private Client Conference is North America’s leading event designed specifically for financial professionals who service the individual investor. Register now to hear from top industry leaders on tactical … Continue reading SIFMA: Private Client Conference 2015