SIFMA Credit Section RSS Feed

Advisory Council Luncheon - Quarterly Meeting - Q210
Start Date: 21-May-10 12:00 PM
End Time: 21-May-10 2:00 PM
Location: SIFMA Conference Center, New York, NY 10271

SIFMA Conference Center

120 Broadway

New York, NY USA 10271

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noemail@sifmacreditdivision.org — Mon, 19 Mar 2007 22:27:40 GMT

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Panel 3 - Special Alerts

Tue, 02 Mar 2010 23:10:46 GMT

The Credit & Margin Section now accepts credit card payments for our monthly dinners; enter the event, click on Register Now and follow the instructions to "Pay Online" - fast ,easy and efficient.

If you attend an event but did not register, payment can be made by credit card via the attached url - www.sifmacreditdivision.org/en/py - please indicate in the comment field which event this is related to.

Benefits of Membership

Fri, 12 Feb 2010 22:02:56 GMT

In order to benefit our members, the Credit & Margin Section of the SIFMA Operations & Technology Society strives to provide a forum to:

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 among its membership.

Develop policy positions with regulatory and self-regulatory bodies.

Provide the Federal Reserve Board, Securities and Exchange Commission, Financial Industry Regulatory Authority, Chicago Board Options Exchange, the Options Clearing Corporation 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 Societes and securities industry organizations
To apply for membership, please use this application or if you wish to obtain more information, contact Brian Warshaw at 904-218-8537.

Credit & Margin Manual

Fri, 12 Feb 2010 22:02:16 GMT

The Credit & Margin Section of the SIFMA Operations & Technology Society Credit & Margin Manual The SIFMA Credit & Margin Section is pleased to offer for sale it's Credit & Margin Manual. While the Credit & Margin Manual can be used as an industry-wide reference tool, it has also been developed to support the following key objectives: Improve business practices and the quality of service Promote high standards of professional capabilities and performances Foster efficient operations Encourage uniformity of practices (where applicable) The manual includes provisions governing the changes which have impacted Day Trading and Options. The Manual's detailed analysis of rules, regulations, and guidelines is a must-have for anyone who wants to possess the industry's most critical information. Here is How You Can Order a Copy of The Credit & Margin Manual: The price of the Manual for Credit & Margin Section Members is $130 per copy. Members who order multiple copies will be charged...

Panel 4 - Become a Member

Fri, 12 Feb 2010 21:52:39 GMT

Membership in the Credit & Margin Section of the SIFMA Operations & Technology Society will provide you and your firm an opportunity to to stay up to date with the latest regulatory updates. Stay up to date with proposed changes and interpretation and application of existing rules.

Learn more ...

Welcome

Fri, 12 Feb 2010 21:50:40 GMT

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Membership Application

Thu, 11 Feb 2010 21:57:43 GMT

Join the Credit & Margin Section of
SIFMA’s Operations and Technology Society!

In this historic period of reform, it is now more important than ever to stay connected and informed within our industry. I would like to invite you to join the Credit & Margin Section today to take advantage of all the benefits membership has to offer.

The Credit & Margin Section was founded in 1937 as a forum for like-minded industry participants to communicate about issues that impact their daily professional lives. Our legacy of service and value to the professional community is rooted in our years of service to our members.

Professionals from all across our industry have joined the Credit & Margin Section to take advantage of the benefits of membership, which include:

Peer-to-Peer Networking
Conferences and Events
Listing in the Online Directory
Newsletters Covering Current Events in the Industry
Information Sharing Through Committee Participation

Change IS coming. Join the Credit & Margin Section of SIFMA’s Operations and Technology Society to stay connected and informed as financial regulatory reform sweeps the globe. Take advantage of this unique opportunity to join us TODAY.

Best Regards,
Paul C. Carroll, President
Credit & Margin Section, SIFMA Operations and Technology Society

How Do I Join?

Click Here to begin the Credit & Margin application process. The application is simple and should take only a few minutes. Credit & Margin members are professionals in Margin regulatory practices; collateral and operations risk management; best practice controls and compliance, legal and investment professionals.

Annual membership is $75.00

Refund Policy

Wed, 27 Jan 2010 22:41:45 GMT

Please find attached the Credit Division's 2009 Refund Policy.

Officers

Wed, 06 Jan 2010 23:10:32 GMT

Officer Affiliation Telephone Paul Carroll President Goldman Sachs Execution & Clearance 30 Hudson Street Jersey City, NJ 07302 212-357-2343 Tel 212-493-9409 Fax Gregory Szabo Executive Vice President UBS Securities LLC 1285 Avenue of the Americas New York, NY 10019 212-713-4546 Tel 203-719-8851 Fax Chris DeCarlo Vice President UBS Financial Services 1000 Harbor Blvd , 8th Floor Weehawken, NJ 07086 201-352-0555 Tel 201-442-6422 Fax Brian Warshaw Treasurer Merrill Lynch 4803 Deer Lake Drive Building 4, 2nd Floor Jacksonville, Florida 32246 904-218-8537 Tel 904-218-0626 Fax James Barry Secretary Morgan Stanley 1 New York Plaza New York, NY 10004 212-276-0590 Tel 718-233-0923 Fax

Panel 5

Wed, 18 Nov 2009 15:50:01 GMT

CURRENT DEVELOPMENTS FINRA Delays the Effective Date for Increased Margin Requirements for Options on Leveraged ETFs ; New Effective Date: April 30, 2010 Extension for ETF Option Requirements SIFMA Requests Extension to ETF Deadline Request sent to FINRA on 10 16 09 Business Continuity Planning 09-59 FINRA Provides Guidance on Pandemic Preparedness ETF Margin Requirements 09-53 Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options LIMIT AND MARKET ORDER PROTECTION 09-15 FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection; Comment Period Expires: April 24, 2009 AUCTION RATE SECURITIES (ARS) 09-12 Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities RETAIL FOREX 09-06 FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex; Comment Period Expired: February 20, 2009 AUCTION RATE SECURITIES (ARS) ...

Tue, 17 Nov 2009 01:30:54 GMT

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noemail@sifmacreditdivision.org — Mon, 19 Mar 2007 22:27:39 GMT

Objectives:

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Release Date: 19-Mar-07 5:27 PM
Expiration Date: 19-Jun-07 5:27 PM

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2007-03-19T22:27:39Z

Instructor: Instructor

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SIFMA Credit Section RSS Feed

Credit & Margin Monthly Dinner Meeting

Credit & Margin Monthly Dinner Meeting

Credit & Margin Monthly Dinner Meeting

Advisory Council Luncheon - Quarterly Meeting - Q210

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Panel 3 - Special Alerts

Benefits of Membership

Credit & Margin Manual

Panel 4 - Become a Member

Welcome

Welcome

Quick Links

Membership Application

Join the Credit & Margin Section of SIFMA’s Operations and Technology Society!

Refund Policy

Officers

Panel 5

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Join the Credit & Margin Section of
SIFMA’s Operations and Technology Society!