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Thu, 14 Jan 2010 17:28:12 GMT

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SIFMA-CL Subcommittees

Mon, 05 Oct 2009 19:28:07 GMT

Operational Subcommittees Education Howard Plotkin Barclays Capital 745 Seventh Avenue New York, NY 10019 212-526-0624 Tel 646-758-1609 Fax Membership I. Scott Bieler Fidelity Investments 82 Devonshire Street Boston, MA 02109 617-563-9188 Tel Member Services Louise Guarneri Credit Suisse One Madison Avenue; 9th Floor New York, NY 10010 212-538-3141 Tel 917-326-7917 Fax Finance Joseph Castro Fidelity Investments 82 Devonshire Street, MZ-G5B Boston, MA 02109 617-563-8557 Tel 617-385-2694 Fax Topical Subcommittees Compliance Michele Oroschakoff Morgan Stanley Harborside Financial Center 34 Eachange Place; Plaza 2 - 2nd Floor ...

2009 SIFMA-CL Officers

Mon, 05 Oct 2009 19:26:31 GMT

Officer/Affiliation Telephone/Fax Edward G. Turan President Citigroup Global Markets Inc. 388 Greenwich Street, 17th Floor New York, NY 10013 (212) 816-0111 Tel Linda Yarden Executive Vice President Goldman, Sachs & Co. 85 Broad St. New York, NY 10004 (212) 902-0726 Tel (212) 428-9084 Fax I. Scott Bieler Secretary Fidelity Investments 82 Devonshire Street Boston, MA 02109 (617) 563-9188 Tel Cathleen Shine Treasurer Alliance Bernstein LP 1345 Avenue of the Americas New York, NY 10105 (212)...

Legal Sub-committee

Thu, 27 Aug 2009 15:41:12 GMT

Mission Statement of Sub-Committee: The Sub-Committee will regularly monitor, analyze and discuss litigation, legislative, and regulatory issues of importance to the industry, with particular attention paid to those issues identified by the SIFMA Compliance & Legal Division Executive Committee. On selected material issues, the Sub-Committee will advocate the industry’s position through the filing of Amicus Briefs; the development and publication of White Papers; the submission of Comment Letters; and the facilitation of and participation in meetings with senior regulatory and legislative staff members. The Sub-Committee will coordinate its efforts with the Compliance and Legal Division Executive Committee and with other Committees and Organizations within SIFMA. The Sub-Committee will meet monthly by phone and quarterly in person in New York City. ...

Regional Firms Sub-committee

Thu, 27 Aug 2009 15:30:16 GMT

Mission Statement of Sub-Committee: To expand opportunities for individuals to participate in the work of the Division and its programs; To broaden participation by regional firms and firms located outside of the New York metropolitan area; To identify additional programs and services desired by the Membership; To critique and suggest enhancements and/or improvements to programs currently offered by the Division; To serve as a resource to the SIFMA Regional Firm Committee as directed by the leadership of the SIFMA Compliance and Legal Division; To serve as a feeder organization for qualified individuals to become members of the SIFMA Compliance and Legal Division Executive Committee as vacancies occur and the need arises; To foster diversity and expand opportunities for participation by all genders, races and creeds in SIFMA Compliance and Legal Division activities; and To expand services to...

Compliance Sub-committee

Thu, 27 Aug 2009 15:17:05 GMT

Mission Statement of Sub-Committee: To provide a forum to identify and discuss current issues facing the Broker-Dealer and Investment Adviser community and serve as a resource to resolve those issues. To assist the Executive Committee in working with regulators to satisfactorily resolve those issues. To represent the Broker-Dealer and Investment Adviser Compliance and Legal community and positively influence regulatory action and direction on issues facing the Broker-Dealer and Investment Adviser Compliance and Legal Community. Chairperson: Michele Oroschakoff Morgan Stanley Harborside Financial Center 34 Exchange Place; Plaza 2 - 2nd Floor Jersey City, NJ 07311 ...

About SIFMA-CL Seminars

Thu, 26 Feb 2009 16:33:21 GMT

The Division sponsors a monthly general luncheon with guest speakers from diverse backgrounds within the industry and regulatory communities who provide information and the opportunity to ask questions about matters which are topical and important to members. A number of these lunches are eligible for Continuing Legal Education ("CLE") credit.

Members also have the opportunity to attend regional educational seminars and the annual seminar at reduced rates. More recently, the Division has been holding smaller, less formal, breakfasts and meeting in a variety of cities across the United States. Members also receive a subscription to the Division's publication "News & Notes".

Based upon their backgrounds and experience, members may have the opportunity to serve on various committees which function in specialized areas or with respect to special projects of the Division. Membership in the Division serves the important purposes of promoting professional development and serving the best interests of member firms and the industry in general.

SIFMA-CL Memberships

Thu, 12 Feb 2009 18:41:42 GMT

Membership in the Division serves the important purposes of promoting professional development and serving the best interests of member firms and the industry generally.

Members' activities include:

Organizing educational programs on legal and compliance issues of general interest to the industry, including its regulators and those who provide various professional services to SIFMA member firms.
Providing opportunities for both formal and informal contacts with industry, regulatory and self-regulatory organizations to discuss matters of common concern and promote understanding of the compliance and legal functions in a dynamic regulatory environment.
Formulating positions and suggesting approaches to be taken by SIFMA-CL on proposed industry laws, rules and regulations and other matters of a compliance and legal nature.
Providing assistance to individual members and firms with which they are affiliated on compliance and legal matters of general concern or importance to the industry.
Coordinating positions with other divisions and standing committees of SIFMA.
Promoting the exchange of information among members.

For questions on Division Membership or Division Programs, please contact the Division's Administrative Office or click here for additional information.

SIFMA - Compliance & Legal Division
50 East 42nd St.
Suite 706
New York, NY 10017

Phone: (212) 629-9393
Fax: (212) 629-9722
e-mail: membership@sifmacl.org

2009 SIFMA-CL Executive Committee

Tue, 10 Feb 2009 21:08:01 GMT

Tracy E. Calder UBS Wealth Management 1200 Harbor Blvd., Tenth Floor Weehawken, NJ 07086 (201) 352-6476 Tel (201) 617-8483 Fax Joseph Castro Fidelity Investments 82 Devonshire Street Boston, MA 02109 (617) 563-8557 Tel (617) 385-2694 Fax Mark T. Commander RBC Capital Markets One Liberty Plaza 165 Broadway New York, NY 10006 (212) 428-6517 Tel (212) 658-6125 Fax Daniel J. Fitzpatrick Morgan Stanley 200 Westchester Avenue; 1st Floor Purchase, NY 10577 (914) 225-5554 Tel (914) 225-5717 Fax Bari Manzari Havlik Charles Schwab & Co., Inc. 101 Montgomery San Francisco, CA 94104 (415) 636-3540...

International Sub-committee

Tue, 22 Jul 2008 17:57:55 GMT

Mission Statement of Sub-Committee: To develop and facilitate among interested SIFMA CL members, an organized approach to sharing our members’ identification(s), evaluation(s) and responses to the legal, regulatory and compliance environments, and other cross-border issues, affecting the international operations of our firms. Chairperson: LaBrena Jones Martin Royal Bank of Canada One Liberty Plz., 5th Fl. New York, NY 10006-1404 212-858-7110 Tel ...

Institutional Sub-Committee

Wed, 16 Jul 2008 17:48:30 GMT

Mission Statement of Sub-Committee: To identify issues of common concern related to institutional (i.e., non-retail) capital markets and transactional activity through the exchange of ideas, regulatory experiences, market practices and creative solutions applied to specific challenges. When necessary take one of the following courses of action: 1) contact the appropriate regulatory organization for guidance and/or assistance; or 2) elevate pertinent issues to the SIFMA C&L Executive Committee to determine what, if any, action is required (e.g., comment letter, meeting with regulators, etc.). Chairperson: Stephen Strombelline BNP Paribas 787 Seventh Avenue New York, NY 10019 United States Tel 212-841-2657 ...

Institutional Sub-committee

Wed, 11 Jun 2008 16:37:34 GMT

Institutional Sub-Committee Mission Statement: To identify issues of common concern related to institutional (i.e., non-retail) capital markets and transactional activity through the exchange of ideas, regulatory experiences, market practices and creative solutions applied to specific challenges. When necessary take one of the following courses of action: 1) contact the appropriate regulatory organization for guidance and/or assistance; or 2) elevate pertinent issues to the SIFMA C&L Executive Committee to determine what, if any, action is required (e.g., comment letter, meeting with regulators, etc.). Officers/Affiliation Stephen Strombelline Chairman BNP Paribas (212) 841-2657 Tel Members Company ...

Regulating Financial Markets by Rules or Principles - Heyman Center

Mon, 16 Jul 2007 16:52:59 GMT

Regulating Financial Markets by Rules or Principles Monday, April 30, 2007 Securities Industry and Financial Markets Association - Compliance & Legal Division www.sifmacl.org The Samuel and Ronnie Heyman Center on Corporate Governance Benjamin N. Cardozo School of Law Yeshiva University - Brookdale www.heyman-center.org See below for Windows Media file of the presentation. See attached for complete program details. For most efficient performance please install the latest version of Windows Media Player by clicking here. Part I: Heyman Center Presentation Part I Part II: Heyman Center Presentation Part II **To fast forward - please wait for the file to download entirely. Fast forwarding capability will then be available. Program Details Introduction Eric J. Pan, Director of The Samuel & Ronnie Heyman Center on Corporate Governance, Benjamin N. Cardozo School of Law Principles-based Regulation: Focusing on the...

San Francisco Topical Breakfast

Fri, 01 Jun 2007 18:55:17 GMT

San Francisco Topical Breakfast Dear Industry Colleague, You are invited to a complimentary breakfast seminar at the NASD's District Office. Leading regulators from the NASD and NYSE will be discussing the examination agendas of the NASD's Market Regulation Department and the NYSE Sales Practice Unit and how the consolidation of the NASD and NYSE will affect your firm and its examination program. Do not miss this unique opportunity to have your compliance issues heard by Stephen Luparello and Michael Rufino. When: Tuesday, June 19th 8:30 a.m. – 10:30 a.m. Where: NASD 120 Kearny Street 21st Floor San Francisco, CA 94104 415.217.1100 Speakers: Steve Luparello Senior Executive Vice...

SIFMACL Employment Board

Fri, 18 May 2007 13:36:12 GMT

Coming Soon.

Issues Regarding Fee Based Brokerage Accounts

Thu, 17 May 2007 16:52:53 GMT

SIFMA-CL
Issues Regarding Fee Based Brokerage Accounts

Below is information regarding the D.C. Circuit Court's recent decision in Financial Planning Association v. SEC, in which the court ruled that the SEC exceeded its authority under the Investment Advisers Act when it promulgated Rule 202 (a)(11)-1 exempting certain broker-dealers providing fee-based brokerage accounts from registering as investment advisers.

2007 May Monthly Luncheon Presentation - Financial Planning Association v. SEC: Fee Based Brokerage

SIFMA-CL Annual Seminar 2007 Panel Materials TA-7: Investment Adviser Issues for Broker-Dealers

SEC Press Release

DC Court Ruling

Annual Seminar

Thu, 22 Mar 2007 12:57:56 GMT

SPACE IS LIMITED! REGISTER NOW! SIFMA-CL Annual Seminar JW Marriott Desert Ridge Resort & Spa Sunday, March 25th through Wednesday, March 28th We cordially invite you to attend the SIFMA – Compliance & Legal Division’s Annual Seminar to be held in Phoenix, Arizona at the JW Marriott Desert Ridge Resort & Spa on March 25th through the 28th. This Seminar will feature presentations by industry professionals and leading securities regulators from the SEC, NASD and NYSE. The Seminar continues to expand its scope with 61 topical panels. A number of new panels have been added including Investor Education, Commodities and Energy, Foreign Exchange and International Compliance Issues in Developing Countries. Ethics credits continue to be available this year by attending one of three different panels and We continue to feature the highly informative ‘SEC Issues” and ‘Current Enforcement Issues” Panels as part of our General Sessions. Finally, over 50...

About the SIFMA Compliance & Legal Division

Thu, 18 Jan 2007 22:02:00 GMT

Mission

The Compliance and Legal Division's members are primarily compliance and legal professionals associated with SIFMA - Compliance & Legal Division Member Firms. The Division's purpose - to foster an effective self-regulatory system through the efforts of Compliance and Legal personnel - is promoted by its members' activities, the focus of which is education, communication and advocacy. The Division seeks to preserve and enhance the reputation of the securities industry and the self-regulatory system. The Division also works to facilitate communication between the industry and the regulatory community on key issues.

History

The Division traces its roots to more than 40 years ago when a group of 12 representatives of New York brokerage firms organized a monthly luncheon meeting for the express purpose of discussing, on an in-depth basis, the various compliance issues arising within their respective firms. Ideas were exchanged. These frank, informal discussions were enormously helpful to the participants, as well as to the firms with whom they were associated. All present learned a great deal from each other and about what was going on in the industry.

Interest in the compliance functions was recognized as vitally important for a firm's long range planning. As a result, the 12 representatives voted to organize, elect officers and adopt a set of by-laws. Thus, the Compliance and Legal Division began.

In 1964, an application was filed with the SIA (formerly known as the Association of Stock Exchange Firms) to admit the Compliance and Legal group as a Division of the SIA. Approval was received in due course. Today, the Division has grown to over 2,000 members and continues to expand both in its commitment to conduct educational programs and its active participation in addressing issues that specifically impact the compliance and legal community and the securities industry in general.

Shearman & Sterling Client Memos

Mon, 13 Nov 2006 03:54:45 GMT

Commission Proposes Overhaul of Executive Compensation Disclosure Rules

(03/22/06)

NASD and NYSE Issue Joint Interpretive Guidance on Fixed Income Research

(08/18/06)

SEC and CESR launch work plan focused on financial reporting

(08/22/06)

SEC Approves Changes to NYSE Rule 312(f) Relating to Recommendation by NYSE Member Firms of Affiliate Securities
(10/01/06)

NASD Proposes Major Changes to Rule 2720 Governing Conflicts of Interest Between Underwriters and Issuers

(10/02/06)

SEC Approves Amendments to Tender Offer “Best-Price” Rule

(11/07/06)

Sarbanes-Oxley: The Next Step

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2006 Educational Program Materials

Mon, 13 Nov 2006 03:54:16 GMT

2006 Annual Seminar All panels & workshops including 2005 Annual Broker / Dealer Litigation Survey 2006 Chicago Regional Seminar Regulatory Developments & Enforcement Actions Handling an Internal Investigation Non-Traditional Products - Suitability, Sales Practices and Disclosure Compliance and Supervisory Issues for Retail Broker – Dealers 2006 Los Angeles Regional Seminar Anti-Money Laundering Regulatory Examinations Programs – Focus and Significant Findings Retail Brokerage Supervision and Compliance Current Regulatory Enforcement Issues 2006 Washington, D.C. Regional Seminar Enforcement Priorities The Current Face of Examinations Putting the Effective in Your Compliance Program 3012 & 3013 / 342 - Round II Back to home