SIFMA and Cleary Gottlieb Steen & Hamilton LLP are pleased to announce a half-day workshop:
“External Business Conduct Standards: Practical Insights for Adapting to Title VII Regulatory Requirements”

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Join us for our monthly luncheon at The Harvard Club, 35 West 44th Street, New York , New York 10036.

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SII Society’s inaugural networking event will feature John Taft, Head of US Wealth Management, RBC and former SIFMA Chairman in a discussion of key topics in financial regulatory reform, and the importance of stewardship—"serving others"—as a core principle for the financial services industry, the global financial system, and society at large.

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Join us at our member reception for the opportunity to network with peers and meet fellow professionals.

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39th annual must-attend event for professionals in operations, compliance, risk, technology, trade support, clearance and settlement.  See highlights from our 2011 event here. 

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Join us for the opportunity for foundation level training.

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Join us for our monthly luncheon at The Harvard Club, 35 West 44th Street, New York , New York . Sales Practice Concerns and FINRA's Sales Practice Exam Program 
(Audio Recoding only: Register here.)

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A Conference for Wealth Management Professionals: In its 3rd year, this exceptional program will address tactical ways to enhance client service, advice, and, perhaps most crucially, trust, to consistently deliver results.

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Obtain the essential information to pass the Operations Professional Qualification Examination as a "covered persons: as defined by FINRA Rule 1230.

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