SIFMA FMS Fundamental Training Securities Operations


November 10, 2017


New York, NY

Hosted by



The session will cover the life-cycle of a trade from booking through its accounting on books and records. The session will also cover control environments around securities operations and will be aimed at junior Operations and Finance members as a way to show how the trade life cycle relates to regulatory and financial reporting.

  • 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


Registration Rates $45
Member - Webinar
Registration Rates $45
Registration Rates $130
Non-Member - Webinar
Registration Rates $130
Member Member - Webinar Non-Member Non-Member - Webinar
Registration Rates $45 $45 $130 $130


8:00am – 8:30am


8:30am – 12:00pm


Patrick Consola, Rosemarie Fanelli, Anthony Stucchio


Patrick Consola

Executive Director - Compliance

JPMorgan Chase & Co.

Patrick Consola’s Biography

Rosemarie Fanelli

Deputy Unit Leader, Member Regulation - Risk Oversight and Operational Regulation (ROOR)


Rosemarie Fanelli’s Biography

Anthony Stucchio

Managing Director, COO- DCRO America's Head & Chief Operations Officer

Deutsche Bank Securities Inc.

Anthony Stucchio’s Biography


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

Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900


Eligible for 2.5 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