The objectives and functions of the section are:
- Improve business practices and quality of service in its area of expertise, promote high standards of professional capability and performances, foster efficient operations, and where applicable, encourage uniformity of practice.
- Provide a medium for the exchange of ideas and experiences.
- Develop policy positions with regulatory and self-regulatory bodies.
- Provide the Federal Reserve Board, Securities and Exchange Commission, Financial Industry Regulatory Authority, Options Clearing Corporation, Chicago Board Options Exchange and other self-regulatory bodies with information, guidance and opinions with respect to the interpretation and implementation of new, proposed or existing rules.
- Maintain liaison with SIFMA, other SIFMA Section and securities industry organizations
To apply for membership, please use this application or if you wish to obtain more information, contact Jennifer Daniele at 201-915-6908.
