C&L Society April Luncheon
Join the SIFMA Compliance & Legal Society at one of our special luncheon presentations. Registration is now open for the April…
Financial Management Society Education Day
Overview
Financial Management Society Education Day
Member – Until 5/15/19
- Securities Operations (Morning Session) $175
- Net Capital & Customer Protection (Afternoon Session) $175
- Full Day Event $300
Overview
Join us for the 2019 FMS Education Day – designed to bring you the latest developments on new and existing financial, accounting and regulatory rules impacting the industry.
On May 15 in New York City, the FMS Education Day will examine rules relating to Broker-Dealer Securities Operations and Net Capital & Customer Protection.
Attend one session (half day) or both (full day). Save when you sign up for both sessions!
Pricing
| Member | $175 |
|---|---|
| Non-Member | $275 |
| Regulator | $75 |
| Member | $175 |
|---|---|
| Non-Member | $275 |
| Regulator | $75 |
| Member | $300 |
|---|---|
| Non-Member | $500 |
| Regulator | $150 |
| Securities Operations (Morning Session) | Net Capital & Customer Protection (Afternoon Session) | Full Day Event | |
|---|---|---|---|
| Member | $175 | $175 | $300 |
| Non-Member | $275 | $275 | $500 |
| Regulator | $75 | $75 | $150 |
Program
8:00am – 6:00pm
Registration Desk Hours
8:00am – 8:30am
Networking Breakfast
8:30am – 12:00pm
• Pillars of Operations (Processing, Trade Flow, Books & Records, Reconciliations) • Checkpoints Built into the Settlement Cycle (ie. Fraud Prevention) • Control and Supervision of Broker/Dealer Securities Operations
• Pillars of Operations (Processing, Trade Flow, Books & Records, Reconciliations)
• Checkpoints Built into the Settlement Cycle (ie. Fraud Prevention)
• Control and Supervision of Broker/Dealer Securities Operations
Participants
John Clemente, Frank Giannico, Anthony Stucchio
Speakers
12:00pm – 1:30pm
Participants
David Aman
Speaker
1:30pm – 5:00pm
• Discover the origins of Broker/Dealer Financial Responsibility Rules • Determination of Net Capital • Overview of Customer Protection • Learn the requirements for Protection of Customer and PAB Portfolios…
• Discover the origins of Broker/Dealer Financial Responsibility Rules
• Determination of Net Capital
• Overview of Customer Protection
• Learn the requirements for Protection of Customer and PAB Portfolios
• Understand the Preparation of Customer and PAB Reserve Requirement
Participants
Mark Axelrod, David Grumer, Ralph Mattone
Speakers
5:00pm – 6:00pm
Networking Reception
Venue
SIFMA Conference Center
120 Broadway
Floor 2
New York, NY 10271
Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.
With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.
Hotel Accommodations
If you require hotel accommodation, a special SIFMA rate is available at the following:
Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY 10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852
Club Quarters
52 William Street, New York, NY 10005, Phone# 212-269-6400
DISCOUNT: Password (SIFMA)
Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900
DISCOUNT: Password (SIFMA)
Accreditation
Eligible for up to 8.4 hr CPE Credit
Field of Study: Specialized Knowledge
Program Level: Intermediate
Delivery Method: Group-Live
No Advanced Preparation or Prerequisites Required
*CEU Institute to provide CPE Certificates
* CEU Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.com