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October 22, 2012
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Regulatory Overview 
See all the highlights from the SIFMA annual Meeting: http://www.sifma.org/events/2012/sifma_2012_annual_meeting/highlights/
The SIFMA 2012 Annual Meeting is here
Join financial industry leaders in New York City tomorrow to discuss the impact of the political and economic climate looking ahead to 2013 and beyond. The program is packed with regulators, Beltway insiders and industry thought leaders.

There is still time to register to attend the Annual Meeting. If you can't attend, be sure to watch your inbox Wednesday for a recap of all the highlights.
From SIFMA 
  • Lunch with The Honorable Dr. Alan Greenspan
    In an exclusive appearance, Former Federal Reserve Chairman Alan Greenspan will address the SIFMA audience on the path forward for the U.S. economy. Dr. Greenspan will emphasize his support for bipartisan cooperation to resolve the U.S. fiscal crisis. However, shoring up the U.S. balance sheet is only the first step toward bringing coherence to the financial markets -- Europe presents the greatest challenge to economic recovery. Dr. Greenspan will also offer his unique insights into the future of the markets, the economy and U.S. economic competitiveness. LinkedInFacebookTwitterEmail this Story
  • An Introduction to Complexity Risk with Karen Shaw Petrou
    A notable authority on legislative, regulatory and public-policy issues affecting financial services, Karen Shaw Petrou will discuss the current economic and regulatory environment for companies doing business in the global marketplace. LinkedInFacebookTwitterEmail this Story
  • A Conversation with Pimco's Doug Hodge
    Doug Hodge, chief operating officer of PIMCO, will share his plans to restore current client trust in the financial markets and how the industry will win the confidence of the next generation of investors. He will provide an update on regulatory reform from the buy-side perspective. LinkedInFacebookTwitterEmail this Story
  • A Conversation with Raymond James' Thomas James
    Raymond James Executive Chairman Thomas James will discuss the role the financial industry plays in the broader economy and offer his perspectives on the opportunities and challenges in the current market. LinkedInFacebookTwitterEmail this Story
Gain Unique Insight with Pershing's IndustryWatch
Stay updated on industry changes and how they can impact your firm. IndustryWatch provides market commentary and practical insights from leaders of Pershing and its parent company, BNY Mellon?many of whom serve on committees and advisory panels that monitor the industry. Learn more.
Industry News & Trends 
  • Is the pending "fiscal cliff" negatively affecting investor confidence?
Yes
No

  • How will lawmakers address the "fiscal cliff" in the lame-duck session?
With a long-term reform package (tax reform, budget reductions, debt-limit increase)
With a 6-month extension of existing policies
They won't -- we will go over the "fiscal cliff"

  • Is the pending "fiscal cliff" delaying your firm's plans for growth and development?
Yes
No

One Complete Solution
Take advantage of the award-winning NetX360 difference. Pershing's industry-leading technology solution brings the best of brokerage and advisory worlds together on one platform. NetX360 provides investment professionals and RIAs the tools they need to manage their business, increase efficiency and automate compliance. Learn more.
CFTC Weekly Swaps Report 
  • Bipartisan discussion on the economic future of America
    Sens. Saxby Chambliss, R-Ga., and Mark Warner, D-Va., members of the "Gang of Eight," provide a rare opportunity to gain insight into Congress' last effort to avert a drop off the "fiscal cliff" and the future competitiveness of America. LinkedInFacebookTwitterEmail this Story
  • Political Panel: Elections and the Economy
    Moderated by SIFMA's Ken Bentsen, a panel of Washington's best-known insiders, Charlie Black, Prime Policy Group; Karen Finney, MSNBC; and Mark McKinnon, No Labels, will provide analysis of the latest polls and predictions for election results and the impact the possible outcomes will have on our industry and the economy at large. LinkedInFacebookTwitterEmail this Story
  • Economists & Analysts Panel
    Jeremy Siegel, renowned economist at the Wharton School and Academic Director of SIFMA's Securities Industry Institute, says he believes the Dow Jones industrial average reaching 17,000 by the end of 2013 is "very attainable." Dr. Siegel will be joined by other economic experts including: Brian Gardner of Keefe Bruyette & Woods and Howard Chen of Credit Suisse. The panel will explore predictions for the future of the market and other critical economic issues, including the looming "fiscal cliff," European debt crisis, the impact of global financial regulatory reforms and much more. LinkedInFacebookTwitterEmail this Story
Experience the Benefits of Consolidation
Learn how you can enhance your level of client service and simplify your day-to-day activities by transferring your clients' existing directly held mutual fund positions, 529 plan accounts, annuity policy information and other outside assets into a brokerage account on the Pershing platform. Learn more.
Legal Analysis 
  • SIFMA Foundation to honor Donahue, Walcott and Rogers
    SIFMA and the SIFMA Foundation invite you to join your industry partners on after the Annual Meeting as we honor Donald F. Donahue, former President and CEO of DTCC; Dennis M. Walcott, Chancellor, NYC Department of Education; and John W. Rogers, Chairman and CEO, Ariel Investments, Chair President's Advisory Council on Financial Capability, for their dedication to creating awareness regarding financial literacy. The proceeds from the event will help continue to make SIFMA Foundation's many programs a success. Join us and your peers in supporting the SIFMA Foundation and its work. LinkedInFacebookTwitterEmail this Story
Dodd-Frank Scorecard 
  • Dodd-Frank Rulemaking Progress Report -- October 2012
    As of Oct. 1, 2012, 237 Dodd-Frank rulemaking requirement deadlines have passed. Of them, 149 (62.9%) deadlines have been missed and 88 (37.1%) have been met with finalized rules. In addition, 127 (31.9%) of the 398 total rulemaking requirements have been finalized, while 136 (34.2%) have not yet been proposed. This month, the CFTC Final Rule on Position Limits was vacated in a decision of the U.S. District Court for the District of Columbia. Download the full report from Davis Polk & Wardwell LLP. LinkedInFacebookTwitterEmail this Story
More Resources 
  • Connect with SIFMA during the Annual Meeting
    Follow @SIFMA on Twitter and connect with us using #SIFMAImpact during the Annual Meeting. Also, connect with colleagues by joining SIFMA's groups on LinkedIn. See educational and informative videos about issues facing our industry on SIFMA's YouTube channel, SIFMAtv. Connect with SIFMA and join in the conversations at the Annual Meeting and in the future. LinkedInFacebookTwitterEmail this Story
  • Latest SIFMA Research Resource: 2012 Fact Book
    SIFMA Research reports include regular outlooks and forecasts, research quarterlies and essential industry factbooks and yearbooks. SIFMA recently released its 2012 Fact Book. This annual resource contains comprehensive data on the securities industry, capital markets, market activity, investor participation, global markets, savings and investment, and much more. The SIFMA 2012 Fact Book is now available and has more than 120 pages of tables and charts with decades of historical data (through 2011), plus website locations of key industry data sources. Purchase the SIFMA 2012 Fact Book and have the latest data at your fingertips. LinkedInFacebookTwitterEmail this Story
Upcoming Events 
Editor's Note 
  

Product announcements appearing in SmartBrief are paid advertisements and do not reflect actual SIFMA endorsements. The news reported in SmartBrief does not necessarily reflect the official position of SIFMA.
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