FMS Educational Seminar

Net Capital and Accounting Update


SIFMA’s Financial Management Society is coming to Philadelphia!

Join us for educational seminar, where you can hear from industry experts on the following topics:

  • The Net Capital Rule – gain an understanding of the practical implications of the rule with an emphasis on regulators’ examination findings.
  • Revenue Recognition Standards – focus on standards relating to a significant level of first time disclosures arising from the newly implemented Topic 606.
  • Accounting update on accounting standards applicable to securities broker-dealers including revenue recognition, leases, credit impairment and current expected credit loss and more.


2:30pm – 3:00pm

Registration Desk Hours

3:00pm – 3:50pm


Charles DiVuolo


Charles DiVuolo

Executive Director, Corporate Investment Bank

JPMorgan Chase & Co.

Charles DiVuolo’s Biography

3:50pm – 4:10pm

Networking Break

4:10pm – 5:00pm


David Grumer


5:00pm – 6:00pm

Networking Reception


Janney Montgomery Scott

1717 Arch Street
Philadelphia, PA

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.