Operations / Technology / Industry Initiatives
The industry initiatives covered in this section are produced with the cooperation of the Operations, Clearing Firms, and Technology Committees and their associated subcommittees. In addition, this section features major industry projects requiring the oversight and leadership of a project office that is augmented by the SIFMA staff. Committee membership consists of senior level SIFMA member firm representatives with the authority to speak to the views of their respective firm.
In general, the mission of these committees is to address SRO and SEC rules and Federal and State legislative developments and other issues affecting the operational and technical support functions of SIFMA member firms. This would include the creation of best practices where appropriate. Surrounding this mission are the external challenges that affect the efficiencies in the marketplace and economic factors covering all SIFMA related product lines. The Committees lead by producing the proper level of industry education via comment letters, conferences, and seminars.
Initiatives
- Agency Lending Disclosure
- Arms
- Email Records
- Market Structure
- Operations Summary Newsletters
- Options Markets
- Options Symbology Initiative
- Outsourcing
- Proxy Processing Suggested Guidelines
- Regulatory Coordination
- Section 31 Fees
- Short Sale Regulation
- Stock Transfer Tax
- STP
- Treasury and Banking
- Unclaimed Property Guidelines (PDF)
