SIFMA IAD Installation of Officers and General Membership Reception

Thu, 20 Nov 2008 16:35:58 GMT

SIFMA IAD Installation of Officers and General Membership Reception
Start Date: 21-Jan-09 5:30 PM
End Time: 21-Jan-09 8:00 PM
Location: Bayard’s Restaurant, New York, NY
Speaker:

Event Details:

Register online or use our printer-friendly form.

A reception for the installation of officers and new executive committee members will be held on Wednesday, January 21, 2009 at Bayard’s Restaurant, from 5:30 - 8:00 p.m. The cost is $75 per person. There is no limit to the number of registrants each member firm may register.

Advance registration and payment for this membership reception must be received by Friday, January 16, 2009. You can register online at www.sifmaiad.org; fax the completed registration form along with credit card or pay by check. If paying by make your check made payable to the Internal Auditors Division in the amount of $75 per registrant and mail along with the registration form to the address below. (Forms received without payment will be returned).

If you have any questions regarding registration, please contact Lisette Rios at (212) 313-1210.

Note: No refunds for cancellations received after January 16, 2009. Cancellations prior to the cutoff date must be in writing. Please email your cancellation request to Lisette Rios at lrios@sifma.org. If you are unable to attend and do not cancel prior to the cut off date, you are still responsible for payment of the registration fee.

Bayard’s Restaurant

One Hanover Square

New York, NY

Possession or Control and Customer Reserve Rule (SEC Rule 15c3-3)

Tue, 07 Oct 2008 16:24:28 GMT

Possession or Control and Customer Reserve Rule (SEC Rule 15c3-3)
Start Date: 8-Dec-08 9:00 AM
End Time: 9-Dec-08 5:00 PM
Location: Citigroup Conference Center, New York, NY
Speaker:

Event Details:

Register online or use our printer-friendly form.

The Internal Auditors Division of the Securities Industry Association is offering a two-day training
program for Possession or Control and Customer Reserve Rule (SEC Rule 15c3-3) and Net Capital Rule (SEC Rule15c3-1)

This training program will explain events that led up to the adoption of Rules 15c3-3 and 15c3-1 of the Securities and Exchange Commission including back office problems experienced by the securities industry during the late 1960’s and early 1970’s. Discussion will also include a description of the Securities Investor Protection Act of 1970 (SIPA) and how SIPA and Rule 15c3-3 interrelate.

Day One - Rule 15c3-3
Day one of this training program will thoroughly explain the two key components of Rule
15c3-3, possession or control and the customer reserve formula, and how they interrelate
to each other.

Day Two - Rule 15c3-1
Day two will be devoted to the Net Capital Rule. Key provisions of the rule will be explained and
illustrated.

For more information and for a list of topics, view the registration form.

During both sessions discussion of key internal controls and auditing techniques will be integrated into the subject material. It is recommended that participants bring a hand-held calculator for use in solving the case problems.

Continental breakfast will be served from 8:30 – 9:00 a.m. and the training program will start at 9:00 a.m. on each day. There will also be a morning and afternoon breaks. NOTE: SPACE IS LIMITED to 40 registrants and registrants will be accepted on a “first come” basis.

Advance registration for this training course must be received prior to November 26, 2008. Registration can be completed online at www.sifmaiad.org or by faxing the completed registration form along with credit card payment to Lisette Rios at (212) 313-1353. If paying by check, mail your check made payable to the “Internal Auditors Division” to the Securities Industry and Financial Markets Association, Attn: Lisette Rios, 120 Broadway, 35th Floor, New York,
NY 10271-0080, in the amount of $425 per registrant for IAD members ($475 for non-members) along with your registration form.

Payments must be received by November 26, 2008 to guarantee your seat. Cancellation Policy: If we do not receive your cancellation request in writing by November 26, 2008 payment will be due regardless of attendance at the training program. Please email your cancellation request to Lisette Rios at lrios@sifma.org

If you have any questions regarding registration, please contact Lisette Rios at (212) 313-1210

Citigroup Conference Center

388 Greenwich Street

New York, NY

SIFMA Internal Auditors

SIFMA IAD Installation of Officers and General Membership Reception

Possession or Control and Customer Reserve Rule (SEC Rule 15c3-3)