SIFMA Association News


SIFMA Calls for Further Extension of the DOL Fiduciary Rule, Suggests Path Forward for New Secretary

SIFMA SmartBrief | Apr 24, 2017


Invitation to Participate: Survey for Report on 2018 Merit Budgets, Bonuses & Benefits

SIFMA SmartBrief | Apr 24, 2017

SIFMA invites you to participate in its upcoming annual survey, providing industry benchmarks on projected merit increase budgets for exempt and non-exempt employees in 2018 compared with 2017. The survey and report will also assess how bonuses will change relative to this year, and report the anticipated increases in employee benefit costs for next year. All data is kept confidential. Results will be segmented by firm size and geographic region. Questionnaires will be distributed in early May and will be due for completion mid-July 2017. There is no cost to participate in the survey. All survey participants will receive a complimentary electronic copy of the report.


Last Chance to Register: SIFMA Equity Market Structure Conference - April 26, NYC

SIFMA SmartBrief | Apr 24, 2017

The 19th Annual 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. On April 26, equity market structure leaders will gather in New York to discuss recommendations and actionable changes to enhance fairness, stability and transparency in the US stock market.


Calling All Volunteers: SIFMA Foundation is Looking for InvestWrite Judges

SIFMA SmartBrief | Apr 21, 2017

More than 5,000 industry volunteers served as judges for last year's InvestWrite program, a national essay competition based on the acclaimed Stock Market Game. SIFMA and the SIFMA Foundation encourage you and your firms to get involved with this year's program. Take a small step -- judging takes less than two hours and is completely virtual -- to make a big impact on a child's life by supporting this financial capability program. Registration is now open; sign up today!


Full Program Available: Fixed Income Market Structure Seminar, April 27

SIFMA SmartBrief | Apr 21, 2017

SIFMA's Fixed Income Market Structure Seminar in NYC brings together market participants and policymakers to discuss the latest regulatory and market developments in the fixed income markets. This half-day program will address the key questions and issues emerging from significant changes in market structure, including: Investment Grade New Issue Process, Fixed Income Pre-Trade Transparency and Price Discovery, and Execution and Order Management in Fixed Income. Explore the program and register. Video Webcast option available.


Two Weeks Left to Register: Regional Senior Investor Protection Workshop - May 2, Philadelphia

SIFMA SmartBrief | Apr 20, 2017

Join SIFMA for a morning of practical learning and information sharing among key stakeholders on how best to protect our senior investors. The unique program will educate participants on the impact of cognitive decline; the anatomy of an investigation; recent legal and regulatory development; and promising practices to help prevent, spot and address situations of financial exploitation and cognitive decline. Plus, participants will tackle real-life scenarios from beginning to end in a small-group setting.


SIFMA Standard Forms and Documentation Library: Promoting Market Efficiency

SIFMA SmartBrief | Apr 20, 2017

To promote transparency, efficiency and liquidity in the financial markets, SIFMA encourages the use of Standard Forms and Documentation. Check out the prepared tools available to you and your firm within SIFMA's extensive repository -- including an Institutional Suitability Certificate to comply with FINRA's Suitability Requirements, Market Agreed Coupon (MAC) contracts and rates, and MSRB Rule G-17 Model Disclosure Documents.


SIFMA Equity Market Structure Conference: One-stop resource for updates - April 26, NYC

SIFMA SmartBrief | Apr 19, 2017

The 19th Annual 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. On April 26, equity market structure leaders will gather in New York to discuss recommendations and actionable changes to enhance fairness, stability and transparency in the US stock market.


SIFMA's Regulatory Tracker: Follow Key Regulatory Developments

SIFMA SmartBrief | Apr 19, 2017

SIFMA's Regulatory Tracker outlines SIFMA's ongoing contributions to the legislative and regulatory rule-making processes. The chart lists select regulatory actions and deadlines as well as areas of key priority for SIFMA, including taxes, municipals securities, Dodd-Frank implementation and more. The Pipeline includes links to SIFMA comment letters filed within the calendar month, and the respective SIFMA committee and SIFMA staff contact are listed for further information.


Early Bird Rates Available: SIFMA-TCH Prudential Regulation Conference, June 13

SIFMA SmartBrief | Apr 18, 2017

In early February 2017, President Trump issued several executive orders that will cause a review of the financial regulatory framework in the United States and globally. With 2017 set to be a year of change in the U.S. and one of transition in Europe due to regulatory reform and the uncertainty of Brexit, the Prudential Regulation Conference will gather financial researchers, policymakers, practitioners and subject matter experts to provide insight into the possible changes that may reshape the direction of regulation in the year ahead.


New York Outreach of the Singapore FinTech Festival, April 18 - reserve your seat

SIFMA SmartBrief | Apr 17, 2017

The New York outreach of the Singapore FinTech Festival, hosted by the Monetary Authority of Singapore and SIFMA, will bring fresh insights into recent developments taking place in the Singapore FinTech ecosystem - including a look at the future of finance and the role of technology. We invite you to join us and hear from the Monetary Authority of Singapore's (MAS) Managing Director, Mr. Ravi Menon, and Chief FinTech Officer, Mr. Sopnendu Mohanty, as they share perspectives on the opportunities of FinTech. A Q&A session with MAS and SIFMA will follow. Attendance is complimentary.


Interactive Database from SIFMA Research: Capital Markets in Your State

SIFMA SmartBrief | Apr 17, 2017

View and download state-by-state data on corporate, equity and municipal issuance; top public companies; securities industry employment; and more. We invite you to explore this interactive database to find the companies and municipalities in your state that are accessing the capital markets to drive economic growth.


Next Week: Canada-US Securities Summit, April 20 in NYC - Attendance is Complimentary

SIFMA SmartBrief | Apr 14, 2017

Join co-hosts SIFMA and the Investment Industry Association of Canada (IIAC) at the 5th annual Canada-U.S. Securities Summit on April 20 in New York City. This half-day event features experts from Canada and the United States providing insights into key economic, regulatory and political issues in the North American capital markets. The summit will include perspectives on the agenda of the new U.S. administration -- and its potential implications for the long-held ties between the two nations -- as well as topics on Cross Border Trade, Canadian Energy Sector, Equity Marketplaces, and more. Reserve your seat today!


Program Now Available: Regional Senior Investor Protection Workshop -- May 2, Philadelphia

SIFMA SmartBrief | Apr 12, 2017

Join SIFMA for a morning of practical learning and information sharing among key stakeholders on how best to protect our senior investors. The unique program will educate participants on the impact of cognitive decline; the anatomy of an investigation; recent legal and regulatory development; and promising practices to help prevent, spot and address situations of financial exploitation and cognitive decline. Plus, participants will tackle real-life scenarios from beginning to end in a small-group setting.


Last Chance to Register: Securitization Spotlight on FINRA 4210 Implementation - Webinar Available

SIFMA SmartBrief | Apr 11, 2017

The December 2017 compliance deadline for FINRA's margin collection requirements for TBAs and other Agency MBS is fast approaching. Join SIFMA for a Securitization Spotlight Session on April 19 to review how critical aspects of the rule are affecting business almost a year into the implementation process. Program speakers will include Peter Tennyson, FINRA; Kris Dailey, FINRA; James Barry, Morgan Stanley; Steven Lofchie, Cadwalader, Wickersham & Taft LLP; and Nihal Patel, Cadwalader, Wickersham & Taft LLP.


Volcker Rule Testimony of SIFMA Witness Ron Kruszewski at HFSC Hearing

SIFMA SmartBrief | Apr 07, 2017


Volunteer this spring with SIFMA Foundation's Invest It Forward

SIFMA SmartBrief | Apr 07, 2017


Register for the Canada-US Securities Summit: April 20 in NYC

SIFMA SmartBrief | Apr 06, 2017

Join co-hosts SIFMA and the Investment Industry Association of Canada (IIAC) at the 5th annual Canada-U.S. Securities Summit on April 20 in New York City. This half-day event features experts from Canada and the United States providing insights into key economic, regulatory and political issues in the North American capital markets. The summit will include perspectives on the agenda of the new U.S. administration -- and its potential implications for the long-held ties between the two nations -- as well as topics on Cross Border Trade, Canadian Energy Sector, Equity Marketplaces, and more. Registration is complimentary.


SIFMA Equity Market Structure Conference: One-stop resource for updates -- April 26, NYC

SIFMA SmartBrief | Apr 05, 2017

The 19th Annual 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. On April 26, equity market structure leaders will gather in New York to discuss recommendations and actionable changes to enhance fairness, stability and transparency in the US stock market.


Regional Senior Investor Protection Workshop: An Inside Look Into Real-Life Scenarios

SIFMA SmartBrief | Apr 04, 2017

Join SIFMA on May 2 in Philadelphia for a morning of practical learning and information sharing among key stakeholders on how best to protect our senior investors. Unlike any other event in this space, the Regional Workshop provides attendees with the opportunity to delve deeper into the critical aspects of senior investor protection through real-life scenarios. During this hands-on session, participants will start at the beginning and walk through each step of financial exploitation and cognitive decline situations. These small groups will determine the red flags to identify a potential situation, discuss effective internal protocols, share talking points for addressing clients, and more!


Speakers Announced: Securitization Spotlight on FINRA 4210 Implementation -- April 19, NYC

SIFMA SmartBrief | Apr 03, 2017

The December 2017 compliance deadline for FINRA's margin collection requirements for TBAs and other Agency MBS is fast approaching. Join SIFMA for a Securitization Spotlight Session on April 19 to review how critical aspects of the rule are affecting business almost a year into the implementation process. Program speakers will include Peter Tennyson, FINRA; Kris Dailey, FINRA; James Barry, Morgan Stanley; Steven Lofchie, Cadwalader, Wickersham & Taft LLP; and Nihal Patel, Cadwalader, Wickersham & Taft LLP.


Download the 2017 Edition of SIFMA's Sources: A Resource Directory

SIFMA SmartBrief | Mar 31, 2017

Compiled by SIFMA, Sources is an easy-to-use guide of products and services for the securities and financial industry. Each directory listing provides the company's specialization, along with address, phone number, website, email and contact person. The 2017 edition is available as a complimentary download.


Wednesday: T+2 Settlement Conference in NYC

SIFMA SmartBrief | Mar 28, 2017

Last week, the SEC approved rule changes that facilitate a move to a T+2 settlement cycle for most securities. Join us for a deep dive into the next phase of essential planning for the industry's migration to T+2 by September 5, 2017. This must-attend event is for Compliance, Regulatory, Operations, Technology, and Business Leaders within the sell-side, buy-side, trading, exchange, service provider, and vendor communities. Register today and bring your questions for regulators and subject matter experts.


Last chance to register: SIFMA Private Client Conference Scottsdale: April 5-6

SIFMA SmartBrief | Mar 27, 2017

SIFMA's Private Client Conference convenes leaders from across the private wealth management industry to examine the most topical issues facing the business. Join us in Scottsdale, Ariz., for a new program focusing on financial advice amidst rapidly changing technology, regulations, and demographics.




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