Customer Account Transfer Forum
SIFMA is the voice of the nation's securities industry, bringing together the shared interests of hundreds of broker-dealers, investment banks…
SIFMA Member Briefing: Washington Update
Recent developments in Washington will impact the United States’ world-leading private and public capital markets. During this Member Briefing, our experts…
SIFMA & Deloitte Virtual Forum: Understanding the US Treasury Clearing Rule
On Wednesday, April 9th, SIFMA & Deloitte co-hosted a virtual forum to discuss perspectives on recent activity in US Treasury Clearing reform…
Operations Conference & Exhibition
Operations Conference & Exhibition 2025 - For more than 50 years, SIFMA's Operations Conference & Exhibition has gathered operations and…
Securities Industry Institute
The Securities Industry Institute® (SII) is the premier executive development program for securities industry professionals, hosted by SIFMA and Wharton.…
C&L Regional Seminar: Midwest
Tuesday, June 4, 20248:00 a.m. – 5:30 p.m. CT
C&L Regional Seminar: Southeast
Tuesday, September 9, 2025 | 7:45 a.m. – 5:15 p.m. ET
C&L Regional Seminar: Northeast
Wednesday, October 15, 2025 | 8:00 a.m. – 5:00 p.m. ET
SIFMA & Smarsh Forum: Regulatory Challenge of Moving Communications Targets
All financial services firms are required to preserve business communications. While these regulations are designed to be technology-neutral, the obligation…
Asset Management Derivatives Forum
C-Suite, Compliance & Legal, Operations, Regulatory Affairs, Risk, Sales & Marketing, Trading, and more.
SIFMA & EY Forum: Broker-Dealer Symposium
On June 20th, SIFMA and EY will co-host a forum bringing together executives from across the broker-dealer community to discuss…
SIFMA & KPMG Forum: 2025 Tax Update for the Capital Markets Industry
On February 11th, SIFMA and KPMG LLP co-hosted a half-day forum on the most significant U.S. tax issues impacting the capital…
SIFMA & Broadridge Virtual Forum: US Treasury Central Clearing
On Wednesday, January 29th SIFMA & Broadridge hosted a virtual forum to discuss practical guidance on what financial institutions are…
FMS Regional Conference
Clear your calendar - It's going down! You're invited to take part in the festivities. Come one, come all, bring…
State of the Industry Briefing
Our leadership provided updates on key trends in the capital markets as well as an overview of SIFMA's priorities on…
SII 2025 – Year 2 Program
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SII 2025 – Year 3 Program
SII 2025 Year Three Program < Back to SII Home
SII 2025 – Year 1 Program
SII 2025 Year One Program < Back to SII Home
T+1 Industry Check-in
SIFMA and Broadridge recently co-hosted a webinar where industry experts converged to share their experiences and insights on the T+1…
Off-Channel Communications Forum
As the landscape for communications continues to evolve, regulators have increased their scrutiny of "off-channel communications" and brought significant enforcement actions…
T+1: Challenges & Opportunities of the Accelerated Settlement Cycle and Future Proofing for T+0
With T+1 set for May 28, 2024, firms have started to evaluate the impact that accelerated settlement will have on…
Securitization Conflicts of Interest Re-Proposal Webinar
Earlier this year, the SEC re-proposed a rule to implement Section 27B of the Securities Act of 1933, a provision…
SIFMA Equity Market Structure Roundtable
On Wednesday, April 19, buy-side, sell-side, exchanges, and academics gathered to holistically examine the impact of the SEC's equity market…
RSN Industry Briefing
In May 2024, members of the regulated U.S. financial sector launched the Regulated Settlement Network (RSN) Proof-of-Concept (PoC) to explore…
SIFMA C&L Annual Seminar
Our 2024 program will be announced this winter – sign up to be notified when it posts.
SIFMA Webinar: SEC Rule 192 and Municipal Securities
On November 19, attendees heard from a panel of experts as they discussed SEC Rule 192, including:• Definition of "asset…
Industry Briefing: US Treasury Clearing Report
New rules from the U.S. Securities Exchange Commission (SEC) will require most market participants to centrally clear cash and repo…
SIFMA Member Briefing: The US Economic Outlook
On Thursday, December 2024, SIFMA will host a briefing for SIFMA members on the results from our latest survey of the…
C&L Society Forum: Dallas
Thursday, June 13, 20233:00 – 6:00 p.m. ET
SIFMA Member Briefing: Impact of US Elections on Financial Services
Our experts will analyze the current state of the elections for the White House and Congress, policy priorities for the…
Industry Briefing: Treasury Clearing Documentation
New rules from the U.S. Securities Exchange Commission (SEC) will require most market participants to centrally clear cash and repo…
SIFMA Forum: The Latest AML Rulemakings Impacting Asset Managers and Broker-Dealers
Join us for a fireside chat between Chandana Ravindranath and Satish Kini on the latest AML rulemakings and Treasury’s strategic…
SIFMA Foundation 2024 Tribute Dinner
Monday, OCTOBER 21, 20245:30 P.M. – 8:30 P.M. EDTInterContinental New York Barclay
SIFMA Member Briefing: Overview of FINRA Rule 3110 for Business Leaders in a Post-Pandemic World
The briefing will include an overview of changes to FINRA Rule 3110, including the recently finalized remote supervisory locations (RSL)…
SIFMA Forum: Private Credit
The market for private credit is growing fast, with assets under management (AUM) more than doubling since 2019. This rapid…
SIFMA Forum: Long-Term Debt
The federal banking regulators have proposed extending long-term debt and clean holding company requirements to non-GSIB large banking organizations, certain…
SIFMA Forum: SEC Rule 605 Implementation
The SEC recently adopted amendments to Rule 605 of Regulation NMS for order executions in stocks which will enhance the…
SIFMA Member Briefing: Chevron Overruled!
On Friday, June 28, the U.S. Supreme Court issued an opinion overruling the Chevron deference doctrine, and holding that courts…
US-China Relations and Financial Services
The economic relationship between the U.S. and China is evolving. Market drivers are working alongside developments in technology and national…
C&L Society Forum: Boston
Thursday, June 13, 2023 3:00 – 6:00 p.m. ET
ISDA/SIFMA Treasury Forum
[Marketing copy goes here]
SIFMA & Broadridge Virtual Forum: Harnessing CX, AI, and Talent for Digital Transformation
SIFMA and Broadridge co-hosted a virtual forum on Wednesday, May 22 where they explored top insights from Broadridge’s recently published…
C&L Society Forum: New York
Thursday, June 13, 20233:00 – 6:00 p.m. ET
Global Settlement Acceleration Webinar
On January 23 and 24, 2024, SIFMA and the Association of Global Custodians (AGC) hosted a webinar on global settlement…
SIFMA & Protiviti Virtual Forum: Navigating Regulations for Residential Supervisory Locations
In January 2024, FINRA introduced new regulations, specifically Rules 3110.18 and 3110.19, focusing on the Remote Inspection Pilot Program and…
DOL Fiduciary Rule Implementation Workshop
In April, the U.S. Department of Labor released its final "Retirement Security Rule." Join wealth management, compliance and operations professionals from across…
SIFMA Member Briefing: The Final DOL Fiduciary Rule
On Friday, April 26, SIFMA will host a briefing for SIFMA members on the DOL's final fiduciary rule.The U.S. Department of…
SIFMA Basel III Endgame Roundtable
As U.S. regulators consider how to implement the Basel III Endgame capital reforms, on Thursday, April 18, SIFMA hosted a…
Building Blocks for AI Webinar
Asset managers are jumping onto the fast-moving train of generative artificial intelligence. Firms are developing AI models that can increase…
T+1 Industry Briefing
Under T+1, many securities transactions will settle on the next business day following their trade date. With just 50 days…
SIFMA & Deloitte Virtual Forum: Generative AI and AI Risk Management
SIFMA and Deloitte recently co-hosted a virtual forum on Generative AI and AI risk management. They focused on the state…
SII 2024 – Year 3 Program
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SII 2024 – Year 2 Program
SII 2024 Year Two Program < Back to SII Home
SII 2024 – Year 1 Program
SII 2024 Year One Program < Back to SII Home
Building Enterprise Resilience
Cyber incidents pose a threat to the stability of the global financial system. A significant cyber incident, if not properly…
State of the Industry Briefing
Participation is complimentary and for SIFMA members only. Pre-registration is required.
Operations Conference & Exhibition
SIFMA Ops 2024 will be held September 15-18 in San Diego. With the industry moving to T+1 on May 28,…
C&L Forum: St. Petersburg
Friday, November 3, 2023 | 8:00 a.m. – 12:00 p.m. ET
Shareholder Reporting Rule Webinar
On October 26, the U.S. Securities and Exchange Commission adopted its final shareholder reporting rule, with amendments to modernize fund shareholder…
Swap Dealer Seminar
SIFMA and PwC co-hosted a webinar on Thursday, May 4 from 9:20 a.m. - 12:15 p.m. ET. The seminar covered…
C&L Virtual Forum
Clear your calendar - It's going down! You're invited to take part in the festivities. Come one, come all, bring…
Next Step FX: People, Products & Platforms Essential for the Future of FX
Our second GFXD “Next Step FX” Diversity, Equity and Inclusion event, will again showcase the Foreign Exchange market - focusing…
SII 2023 – Year 1 Program
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SII 2023 – Year 2 Program
SII 2023 Year Two Program < Back to SII Home
SII 2023 – Year 3 Program
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Global Corporate Actions Forum
SIFMA's Global Corporate Actions Forum gathers operations and technology professionals from broker-dealers, banks, asset managers, service providers and clearing firms…
ICSA Annual General Meeting
The International Council of Securities Associations (ICSA) is the global organization of securities industry associations representing securities firms operating in…
Aging Demographics: Addressing Clients’ Cognitive Decline
North America’s Aging Demographics are widely known. The investment industry is at the forefront at addressing its challenges in a…
SII 2022 – Year 3 Program
SII 2022 Year Three Program < Back to SII Home
SII 2022 – Year 2 Program
SII 2022 Year Two Program < Back to SII Home
SII 2022 – Year 1 Program
SII 2022 Year One Program < Back to SII Home
Future Of Operations: Simplifying Operations With Data
Workplaces in the financial services industry were already in the midst of a dramatic transformation when COVID-19 introduced an unprecedented…
SIFMA Year-End Briefing
SIFMA invites our members to join us for a virtual year-end briefing on the outlook for the markets, the economy…
Digital Engagement Practices
Digital Engagement Practices New Regulatory Regime? Or Just a Fresh Veneer?
Reg NMS: Reexamining the Regulation 16 Years Later
The SEC has opened Regulation National Market System (Reg NMS) for a comprehensive review as part of a deep dive…
Legal Considerations for the Return to Office
Join SIFMA on June 30, 2021 from 12:00-1:15pm ET for a discussion on the myriad challenges with vaccinations and the return…
Settling in from Your Sofa: Onboarding & Integration into a New Corporate Culture
Join SIFMA and the SIFMA C&L Society Future Leaders on June 23, 2021 from 3:30-5:00pm ET for a panel presentation…
Equity Market Structure Webinar: A Mid-Year Review
On June 22nd, equity market structure experts explored the recent market volatility in retail-driven stocks and impact on the markets.…
The Federal Reserve’s Outlook: Markets and Policy Implementation
Watch this two-part webinar via SIFMA On Demand The Federal Reserve continues to support the U.S. economic recovery by increasing…
Addressing Customer Service Issues and Resolution Challenges Posed by COVID-19 – The New Normal
COVID-19 has been unsparing in its impact around the globe. Beyond the health and wellness impacts experienced over the past…
Privacy, Cookies & Adtech for Financial Services
Advertising technology creates significant privacy and data protection challenges for financial services companies. Join SIFMA on September 23, 2021 from…
Consumer Data Sharing under Sec. 1033 of Dodd-Frank
Consumers are increasingly demanding that their personal financial data be shared with companies that provide other services to consumers, including…
Privacy & Data Security Challenges in Return to Office and Remote Work
As our workplaces evolve in the pandemic and post-pandemic environments, financial services firms are facing significant challenges in operationalizing privacy…
Data Sharing and Transfer by Financial Institutions
Financial services firms face significant challenges when transferring data to third parties, affiliates, and vendors as various jurisdictions put up…
Data Ethics & Emerging Technology
As technology evolves, financial services companies are faced with increasing ethical challenges in handling personal data. Join SIFMA on May…
Operational Challenges in the Face of New Privacy Laws Locally, Regionally and Globally
Financial services firms face an ever increasing number of privacy and data protection laws and regulations enacted by various U.S.…
Gaining Insight into FINRA Member Supervision Priorities
On April 22nd, FINRA discussed their new organizational model for monitoring and examining broker-dealers, with a focus on financial and…
Impact of Technologies Used by Remote Employees
On April 22, industry experts examined how communication tools like Teams, Zoom, and Slack are shaping a “work from anywhere”…
Trading, Cyber and Other Frauds: FINRA Experts Discuss Recent Trends
Join SIFMA on April 6, 2021 from 1:00-2:15pm ET to hear directly from FINRA experts on some of the many…
FMS Virtual Forum
Each year, the SIFMA Financial Management Society (SIFMA FMS) Regional Conference gathers industry leaders, regulators and financial managers to examine…
Zoom Arbitrations: Effective Virtual Advocacy
With the impact of the Covid-19 pandemic, the manner in which industry arbitrations are conducted in a remote environment is…
Working 5-9: Practical Advice from Leading Industry Women
Join SIFMA and the SIFMA C&L Society on March 30, 2021 from 1:00-2:15pm ET for Working 9-5 5-9: Practical Advice…
SEC 2021 Priorities
Join SIFMA and the SIFMA C&L Society on March 25, 2021 from 1:00-2:00pm ET for a fireside chat with Peter…
FINRA 2021 Priorities
On February 11, SIFMA and the SIFMA C&L Society discussed FINRA's 2021 priorities, addressing whether firms are prepared for 2021,…
SII 2021 – Graduate Listing
For Graduate Program registration requests, please email Kristin Sheehan and Erin Schroeder at [email protected].
SII 2021 – Graduate Virtual Calendar
SII 2021 Graduate Program < Back to SII Home Link to Graduate Program Listing View
SII 2021 – Year 1 Listing
SII Curriculum consists of required lectures, optional lectures and small interactive classes (electives). On December 16th, Year 1 participants will…
SII 2021 – Year 1 Virtual Calendar
SII 2021 Year One Program < Back to SII Home Link to Year 1 Class Listing View
SII 2021 – Year 2 Listing
SII Curriculum consists of required lectures, optional lectures and small interactive classes (electives). On December 11th, Year 2 participants will…
SII 2021 – Year 2 Virtual Calendar
SII 2021 Year Two Program < Back to SII Home Link to Year 2 Class List View
SII 2021 – Year 3 Listing
SII Curriculum consists of required lectures, optional lectures and small interactive classes (electives). On December 7th, Year 3 participants will…
SII 2021 – Year 3 Virtual Calendar
SII 2021 Year Three Program < Back to SII Home Link to Year 3 List View
SII 2020 – Year 3 Program
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SII 2020 – Year 2 Program
SII 2020 Year Two Program < Back to SII Home
SII 2020 – Year 1 Program
SII 2020 Year One Program < Back to SII Home
Regulation Best Interest Seminar
Join SIFMA on Wednesday, July 10 for an in-depth, half-day seminar to understand the SEC's final Regulation Best Interest. The…
Asset Management Derivatives Forum 2024
FIA and SIFMA AMG are pleased to announce the eighth annual Asset Management Derivatives Forum will be held on February…
SII Graduate Program
About the 2021 SII Graduate Program The 2021 SII Graduate Program is an enhanced virtual program. The program will provide…
SII 2019 – Year 2 Program
SII 2019 Year Two Program < Back to SII Home
SII 2019 – Year 1 Program
SII 2019 Year One Program < Back to SII Home
Senior Investor Protection Conference
FINRA rules 2165 and 4512, which provide firms with a safe harbor for temporarily holding suspect disbursements and requires firms…
SII 2019 – Year 3 Program
SII 2019 Year Three Program < Back to SII Home
SIFMA Foundation Tribute Dinner
SIFMA and the SIFMA Foundation invite you to join us October 24 for the SIFMA Foundation's Annual Tribute Dinner as we continue…