SIFMA Association News


13th Annual Global Corporate Actions Forum, Oct. 6 in Boston

SIFMA SmartBrief | Sep 29, 2016

Join SIFMA's Corporate Actions Section on Oct. 6 to connect with fellow industry professionals and hear from leading subject matter experts on the latest challenges, regulations, and practices affecting the Corporate Actions community. This annual event provides valuable information on managing risk and improving processes, including: US and Global Tax Regulations, such as 305C, 871(m) and EU Update; Transfer Agent Regulations; Global Market Practices; Proxy and Shareholder Communications Regulatory Update; Regulatory Perspective with FINRA, NYSE and NASDAQ; and more. Register today!


SIFMA Standard Forms and Documentation Library: Promoting Market Efficiency

SIFMA SmartBrief | Sep 29, 2016

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.


Program available: SIFMA's Global Tax Reporting Symposium

SIFMA SmartBrief | Sep 28, 2016

SIFMA's 2016 Global Tax Reporting Symposium will bring together experts from industry and government to discuss the complex and evolving tax compliance regimes firms are facing today, including CRS, FATCA, Section 871(m), Section 305 (c) and QDD. Panels will provide an opportunity to share best industry practices on these issues and more. Speakers to include IRS officials!


Download SIFMA's Fact Book

SIFMA SmartBrief | Sep 28, 2016

The securities industry raised $2.2 trillion of corporate capital for US businesses in 2014 through debt and equity issuance in the US. Find more facts in SIFMA's indispensable Fact Book, an annual publication that contains comprehensive data on the securities industry, capital markets, market activity, investor participation, global markets, savings and investment, and much more. The Fact Book -- used frequently by industry professionals, regulators, academics, and journalists -- amasses data from dozens of sources into a single, easily accessible reference source for researchers and others who track key industry statistics.


Registration now open: SIFMA's Signature Executive Education Program

SIFMA SmartBrief | Sep 27, 2016

The Securities Industry Institute® (SII) is the premier executive development program for financial services professionals. For more than 65 years, SIFMA and The Wharton School of The University of Pennsylvania have partnered to equip SII participants with practical information, ideas and answers directly applicable to their present and future responsibilities. Registration is now open. Visit our website to learn more.


Interactive Database from SIFMA Research: Capital Markets in Your State

SIFMA SmartBrief | Sep 27, 2016

SIFMA is excited to announce a new resource from SIFMA Research, Capital Markets in Your State. 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.


Support financial literacy: Join us at the 2016 Tribute Dinner -- Oct. 5, NYC

SIFMA SmartBrief | Sep 26, 2016

SIFMA and the SIFMA Foundation invite you to the 2016 SIFMA Foundation Tribute Dinner. This year's event will recognize the outstanding contributions of our honorees to financial capability efforts across the country. Our honorees exemplify a personal and professional commitment to helping young people achieve their full potential. Join hundreds of your fellow industry colleagues for a collegial, fun, effective and -- most importantly -- worthwhile event. Your generous support will help millions of students, teachers, schools and communities across the country to participate in and benefit from the SIFMA Foundation's acclaimed financial education programs.


Stay informed with SIFMA's leading research

SIFMA SmartBrief | Sep 26, 2016

Stay informed with SIFMA's research reports and statistics. We analyze vital statistics and data pertaining to financial markets and the general economy, as well as conduct surveys on retail business activity and human resources management. Leveraging the depth and breadth of research expertise at our member firms, many SIFMA reports include surveys of a diverse group of market participants to analyze sentiments from across the industry. SIFMA's flagship reports include the Research Quarterly, Securities Industry FactBook, Economic Outlook, Government Forecast, Municipal Issuance Survey and Foreign Activity Report.


SIFMA's Regulatory Tracker: Follow Key Regulatory Developments

SIFMA SmartBrief | Sep 22, 2016

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.


SIFMA's Next Generation of FAs Seminar -- Oct. 5, St. Louis

SIFMA SmartBrief | Sep 22, 2016

Join us for SIFMA's Next Generation of Financial Advisors Seminar on Oct. 5 in St. Louis. This seminar will bring together experts across multiple fields to explore the numerous opportunities to recruit and train the next generation of financial advisors. Experts will discuss innovative ideas for attracting the millennial generation to explore a career as a financial advisor.


The Capital Markets Conference is next week -- Sept. 26 to 27, Washington, D.C.

SIFMA SmartBrief | Sep 20, 2016

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 state of our capital markets and how we can retain their well-deserved reputation as the best in the world. Confirmed speakers include Twitter and Square CEO Jack Dorsey; Rep. Jeb Hensarling, R-Texas; Commodity Futures Trading Commission Chairman Timothy Massad; former UK Chancellor of the Exchequer George Osborne; former Treasury Secretary Henry Paulson Jr.; Securities and Exchange Commission Chair Mary Jo White; and 30-plus more industry leaders, policymakers and regulators. Register today to join us next week.


Earn CFP credit at SIFMA's Senior Investor Protection Regional Workshop

SIFMA SmartBrief | Sep 19, 2016

Don't miss your opportunity to attend this interactive event dedicated to providing attendees with the resources needed to better serve their senior clients. In addition to the networking and sharing of ideas throughout the day, attendees will also receive our Senior Investor Protection Toolkit -- a collection of resources that will help you better serve your aging clients. Attendees also will be eligible to earn up to five Certified Financial Planner credits.


Program available: 13th Annual Global Corporate Actions Forum, Oct. 6 in Boston

SIFMA SmartBrief | Sep 14, 2016

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 on the latest challenges, regulations, and practices affecting the Corporate Actions community. This annual event provides valuable information on managing risk and improving processes, including US and Global Tax Regulations, focusing on 305C, 871(m), and EU Update; Regulatory Perspective with FINRA, NYSE and NASDAQ; Transfer Agent Regulations; Global Market Practices; Proxy and Shareholder Communications Regulatory Update; and more. Register today!


SIFMA's Regulatory Tracker: Follow key regulatory developments

SIFMA SmartBrief | Sep 14, 2016

SIFMA's Regulatory Tracker outlines SIFMA's ongoing contributions to the legislative and regulatory rulemaking 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.


Program announced for The Capital Markets Conference -- Sept. 26-27, Washington, D.C.

SIFMA SmartBrief | Sep 13, 2016

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 state of our capital markets and how we can retain their well-deserved reputation as the best in the world. Confirmed speakers include Twitter and Square CEO Jack Dorsey, Congressman Jeb Hensarling, CFTC Chairman Timothy Massad, former Chancellor of the Exchequer George Osborne, former Treasury Secretary Henry Paulson Jr., SEC Chair Mary Jo White, and 30+ more industry leaders, policymakers and regulators. Register to reserve your ticket today.


There's still time to register: SIFMA's Senior Investor Protection Regional Workshop

SIFMA SmartBrief | Sep 12, 2016

Join us in St. Petersburg, Fla., and be one of the first recipients of SIFMA's Senior Investor Protection Toolkit. Ensuring senior clients' financial protection is a top priority for the financial services industry. To assist financial advisors, SIFMA developed a Senior Investor Protection Toolkit. This collection of resources includes: SIFMA's Senior Client Protection Playbook, which provides the key warning signs of a variety of common scams; common red flags of senior financial exploitation and cognitive decline; video testimonial from unlikely victims highlighting the ubiquitous and insidious danger of financial exploitation; information on the benefits and importance of reporting suspicious activity; links to useful databases that can inform firms about their reporting obligations, or provide clients and advisors with local information; a model trusted contact form; plus additional resources!


Register today -- Brexit: Implications for the Financial Services Industry, Sept. 15

SIFMA SmartBrief | Sep 09, 2016

Join SIFMA for a symposium on "Brexit: Implications for the Financial Services Industry" Sept. 15 in New York City. This event will bring together industry representatives and policy experts to examine and assess the potential implications for the future of the industry and for how firms operate transatlantically.


Announcing SIFMA's Social Media & Digital Marketing Seminar in NYC -- Oct. 27

SIFMA SmartBrief | Sep 08, 2016

Building on the expert insights presented at 11 installments of our Social Media Seminar, we have expanded this specialized event to explore best practices in digital marketing and examine tactical applications, while adhering to an ever-changing compliance framework. Join leading experts in Business, Marketing, Legal and Compliance in Wealth Management to explore how to leverage the myriad digital platforms while ensuring a consistent brand voice and regulatory compliance.


Jack Dorsey and Mary Jo White added to the Capital Markets Conference -- Sept. 26-27, Washington, D.C.

SIFMA SmartBrief | Sep 07, 2016

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 state of our capital markets and how we can retain their well-deserved reputation as the best in the world. Confirmed speakers include Twitter and Square CEO Jack Dorsey, Congressman Jeb Hensarling, CFTC Chairman Timothy Massad, SEC Chair Mary Jo White and 30+ more industry leaders, policymakers and regulators. Early bird rates are available for a limited time -- register to reserve your ticket today.


Register today for SIFMA's Regional Senior Investor Protection Workshop

SIFMA SmartBrief | Sep 06, 2016

Join us on Sept. 21 in St. Petersburg, Fla., for SIFMA's Regional Senior Investor Protection Workshop. The program is specifically designed to provide attendees with the opportunity to take a deeper dive into the causes of cognitive decline, learn how to identify decline and exploitation, brainstorm actions to better protect their clients, and better understand the reporting process for suspected financial abuse. Plus, receive a personalized toolkit to serve as your guidebook for all your senior investor protection needs.


Download the Playbook for Implementing T+2 Settlement Cycle in the US

SIFMA SmartBrief | Sep 01, 2016

A shorter settlement cycle will enhance US market structure by improving safety and efficiency for investors. The T+2 Industry Steering Committee's (ISC) Implementation Playbook, developed with Deloitte Advisory, provides a detailed timeline, milestones and dependencies to achieve the move to a two-day settlement cycle (T+2) in the US by Q3 2017. Shortening the US settlement cycle will provide a number of benefits, including reducing operational, systemic and counterparty risk and lowering liquidity needs, while aligning the US with other T+2 settlement markets across the globe. Download here.




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