On Thursday, November 15, SIFMA’s 2018 Listed Options Symposium will examine market liquidity, fragmentation, risk, regulation and their impact on…
SIFMA’s Fixed Income Markup Disclosure Seminar will feature presentations and roundtable discussions to promote industry dialogue on the final rules and recently released implementation guidance issued by the MSRB and FINRA in July 2017.
This Seminar is designed to provide members with an opportunity to discuss the practical implementation issues and assist members with interpreting the new rules and guidance, given differing business models among firms and different levels of resources. The seminar will also provide attendees with information on, and access to, a number of vendors that will provide compliance tools.
This is a SIFMA Member event. SIFMA Full Members and AMG Members are eligible to register.
November 16, 2018
Join us for our annual networking dinner at Chelsea Piers. [button button_link="http://www2.sifma.org/te/2017/cas/cas-annual-dinner2017.html" button_text="Learn More" /]
December 3, 2018
As we prepare our audit coverage and plan for 2019, we need to focus on some key emerging risks that…