58th Annual SII Highlights - March 7-12, 2010

This past March, SIFMA hosted the 58th Annual Securities Industry Institute (SII)--the premier, and longest running, executive education program for the financial services industry. More than 600 industry professionals from across the globe gathered at Wharton’s campus at the University of Pennsylvania to learn, reflect and connect.

Over 70 prominent academicians, business leaders and securities industry executives participated as speakers, panelists and discussion leaders in addressing topics on investment knowledge, industry knowledge and professional skills development. Kenneth Duberstein, Former White House Chief of Staff; Steve Forbes, President & CEO of Forbes Inc.; Jeremy J. Siegel, Professor of Finance at the Wharton School and John Taft, President & CEO of RBC Wealth Management were just a few of the speakers that addressed this year's participants.

We are pleased to provide below selected video replay and speaker presentations from the 2010 Securities Industry Institute. Don't forget to mark your calendar on March 6-11 for SII 2011!

Kenneth E. Bentsen, Jr. Executive Vice President, Public Policy and Advocacy SIFMA	Kenneth M. Duberstein Former White House Chief of Staff for President Reagan	Thank You to our Sponsors

Dr. Bob Froelich Senior Managing Director The Hartford Mutual Funds	Joseph A. Sullivan Chair, Securities Industry Institute Board of Trustees Senior Executive Vice President and Chief Administrative Officer Legg Mason, Inc.

John Taft President and Chief Executive Officer RBC Wealth Management	Paul Tiffany, Ph.D. Senior Lecturer, Haas School of Business University of California, Berkeley

Wall Street to Wharton Panel

Presentations Joint Sessions Wall Street Comes to Wharton: Second Verse, Same as the First? Year 1 Fundamentals of Securities Operations The History and the Future of Business Year 2 Focus on Emerging Markets

Monday Electives		Wednesday Electives
Collaborative Skills Development Developing Your Leadership: Learning from Leadership Moments Managing Globalization: Strategies for Emerging Markets The Yay of Innovation: Seven Strategies to Outthink your Competition A Mock Securities Arbitration: As Close as You Want to Get		Advanced Securities Operations Current Regulatory Examination Environment Service Excellence in the Retail Brokerage Industry Unlocking the Communication Code with Senior Clients Brave New World of Securities Regulation Introduction to Securitization and Covered Bonds Risk Strategies