Overview

Join the SIFMA Financial Management Society for an educational seminar on the fundamentals of stock brokerage accounting.

Program topics include:

  • An introduction to the accounting framework and standards relevant to stock brokerage and the securities industry
  • The key concepts essential to understanding stock brokerage accounting
  • The financial statement captions essential to stock brokerage accounting.
  • Discussion and demonstration of the accounting and stock record entries recorded for typical brokerage activities

SIFMA FMS Education Day: Brokerage Accounting

Date

December 12, 2019

Location

New York, NY or Webinar

Hosted by

SIFMA Financial Management Society

Registration Rates – Until 12/12/19

  • SIFMA Member $150
  • Non-Member $250

Overview

Join the SIFMA Financial Management Society for an educational seminar on the fundamentals of stock brokerage accounting.

Program topics include:

  • An introduction to the accounting framework and standards relevant to stock brokerage and the securities industry
  • The key concepts essential to understanding stock brokerage accounting
  • The financial statement captions essential to stock brokerage accounting.
  • Discussion and demonstration of the accounting and stock record entries recorded for typical brokerage activities

Program

1:00pm – 1:15pm

Registration Desk Hours

1:15pm – 3:15pm

Background and History of the Securities Industry Example Financial Statements Basic Accounting Topics Accounting Framework Financial Services Broker-Dealers Fair Value Accounting Securities Borrowing Stock Record Basics Summary of Key Terms

  • Background and History of the Securities Industry
  • Example Financial Statements
  • Basic Accounting Topics
    • Accounting Framework
    • Financial Services Broker-Dealers
    • Fair Value Accounting
    • Securities Borrowing
  • Stock Record Basics
  • Summary of Key Terms

Participants

David Grumer, Anthony Scalise

Speakers

Anthony Scalise

Audit Partner

KPMG LLP

Anthony Scalise’s Biography

3:15pm – 3:30pm

Networking Break

3:30pm – 5:00pm

Agency Brokerage Principal Transactions Securities Lending Repo Transaction

  • Agency Brokerage
  • Principal Transactions
  • Securities Lending
  • Repo Transaction

Participants

Frank Giannico

Speaker

5:00pm – 6:00pm

Networking Reception

Venue

SIFMA Conference Center

120 Broadway
Floor 2
New York, NY 10271

View on Google Maps

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.

Picture of venue

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 4.2 Credits

Field of Study: Accounting
Program Level: Beginner
Delivery Method: Group-Live or Webinar
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.learningmarket.org

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. View our Code of Conduct and anonymous incident report form.

Substitutions
Conference registration substitutions are welcome. Email SIFMA Conferences with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.