Committees

SIA welcomes volunteers for committees, which are reconstituted at the beginning of each calendar year. A notice soliciting volunteers is sent to each managing executive in August. At other times during the year, expressions of interest and biographical information can be sent to Phil Williams at SIA in New York. Subject to the approval of SIA's Chairman and President, committee appointments are made by committee chairmen in consultation with staff advisers. Please review is SIA's Welcome to Committee Work and an Antitrust Compliance Booklet.

To view a firm's participation within SIA's national committee structure, click here.

Amicus Investor Education Advisory
Anti-Money Laundering Membership
Arbitration and Litigation Operations
Bank Holding Company Options
Business Continuity Planning* Prime Brokerage
Capital Privacy
Capital Markets Private Client Services
Clearing Firms Regional Firms
Continuing Education Research, Analysis & Financial Services Planning
Dealer Accounting

Retirement and Savings

Derivative Products Risk Management
- Operational Risk Subcommittee
Diversity* Securities Industry Institute Board of Trustees
Federal Regulation Self Regulation and Supervisory Practices
Federal Taxation of the Securities Industry Small Firms
Foundation For Investor Education State Regulation and Legislation
Global Treasury Management Steering Committee State Tax Committee
Government Representatives

Syndicate

Independent Firms

Tax Compliance & Administration

Institutional Brokerage Technology and Regulation
International Trade & Investment Policy Technology Management
- Information Security Subcommittee
Investment Adviser Trading
Investment Company

 

* Board Level Committees