SIFMA Securities Operations Section Content Managers RSS Feed

Scholarship Program

Fri, 27 Aug 2010 20:05:09 GMT

The Securities Operations Section provides a 2010 Scholarship Program.

Please click here to view and print the scholarship application.

Membership Benefits

Fri, 27 Aug 2010 20:03:39 GMT

As an active 2010 member of our Section you will: First and most importantly, become a member of a Section which recently merged with the Cashiers Association of Wall Street, bringing a diverse knowledgeable group of industry professionals under one umbrella Receive invitations to Educational Forums that are designed to disseminate relevant industry news, information and educational material that cover a wide range of operational topics You will have a direct link to industry professionals to address and provide input on various industry issues, through partnership with Industry Utilities, Exchanges, Regulators and other SIFMA Sections and Societies Voice your firm's opinion through the Regulatory and Clearance Sub-committee (REG and Clearance) and shape the future of our Industry. Member-only benefits include: SOS News & Views - Our highly rated newsletter provides information on a diverse range of topics that are relevant to our...

Mon, 02 Aug 2010 12:20:01 GMT

2010 SOS EXECUTIVE COMMITTEE OFFICERS THOMAS GOOLEY SOS - President Head of Global Wealth Management Operations Morgan Stanley - Global Wealth Management 1 New York Plaza New York, NY 10004 Tel: 212.276.0765 Email: thomas.gooley@morganstanley.com STECE CALLAN SOS - Vice President of Membership Vice President JP Morgan Securities, Inc. 1 Metrotech Center West, 4th floor Brooklyn, NY 11201 Email: steve.callan@jpmorgan.com JEFFREY HAMEL SOS - Vice President of Operations Director Pershing LLC 1 Pershing Plaza - 9th Fl. Jersey City, NJ 07399 Tel: 201-413-2116 Fax: 201-435-2131 Email: jhamel@pershing.com ...

Panel 4 - Become a Member

Fri, 02 Jul 2010 14:09:58 GMT

Invest in the future of your firm, the industry, and your own career. Take advantage of all that the SOS has to offer: Join us in 2010!

Learn about other SIFMA Affiliates

Welcome

Thu, 03 Jun 2010 13:09:15 GMT

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Edit Your Profile

Thu, 03 Jun 2010 13:07:31 GMT

If your member profile needs updating or you have an inquiry about your member profile, please e-mail us at SIFMA-Societies@SIFMA.org.

Panel 5

Fri, 05 Mar 2010 15:49:07 GMT

College Scholarship Program: Each year the SOS awards four renewable scholarships to the families of eligible members in good standing. Learn more. (Members Only)

Homepage Newsletter block

Fri, 05 Mar 2010 14:25:53 GMT

SOS News & Views Winter 2010 - A digest of leading securities clearance, settlement and related regulatory news for SOS members.

Visit our Newsletter Archive to read our newsletters or read the latest newsletter.

Tagline - homepage

Thu, 14 Jan 2010 22:05:36 GMT

The SOS promotes a spirit of cooperation and the pursuit of common industry solutions among operations professionals in banking and brokerage.

SOD BUY IN COMMITTEE

Mon, 23 Nov 2009 15:18:02 GMT

OVERVIEW The SOD Regulatory & Clearance Buy-In Committee is a partnership of over twenty firms within the industry who are committed to effectively mitigating and managing the risk associated with Street Side fails. The committee’s main focus is on the development of standardized processes, harmonizing regulations and developing best practices relating to the processing of buy-ins. The intent of this website is to provide committee members with a centralized repository for information relating to buy-ins. · FINRA Buy In Contacts: o Kris Dailey: 646-315-8434 o Kosha Dalal: 202-728-6903 o Anond Ramtabal: 646-315-8565 REGULATIONS GMRA Rules for Repo Buy Ins: http://Icma-group.org NSCC Buy In Rules (CNS & Balance Order) Pgs 233-236 http://dtcc.com/legal/rules.proc FINRA Buy-Ins (Ex-Cleared Trades): http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=4507&element_id=3829&highlight=11810#r4507 MSRB Close-outs: ...

SOD Constitution & By-Laws

Mon, 21 Jul 2008 19:15:44 GMT

Constitution & By-Laws Revised 7-01-08

Executive Committee

Wed, 09 Jul 2008 16:46:55 GMT

JOHN SCHMIDT SOD – Chairperson, Education Committee (by appointment of the President) Vice President – Asset Servicing/International Operations National Financial Services LLC 1 World Financial Center 200 Liberty Street NY5A7 New York, NY 10281 Tel: (212)-335-5402 Fax: (917)-790-7036 Email: john.schmidt@fmr.com Assistant: Maria Irrizzary Tel: (212) 335-5752 Email: maria.irrizarry@fmr.com CHRIS PLAGGE SOD – Chairperson, Event Planning Committee (by appointment of the President) Vice President JP Morgan Chase & Co. 277 Park Ave. 23rd Floor New York, NY 10172 Tel: (212) 622-6315 Fax: (646) 534-1721 Email: christopher.plagge@jpmorgan.com Assistant: N/A MITCHELL MINTZ SOD – Executive Committee 2008 First Vice President ADP Clearing & Outsourcing Services 101 Hudson St., 9th floor Jersey City, NJ 07302 Tel: (212) 429-8669 Fax: (201) 557-1405 Email: mintz@adpcos.com Assistant: Denise Amormino Tel: (201) 557-2601 Email: denise_amormino@ml.com THOMAS...

Committees

Tue, 11 Mar 2008 11:45:01 GMT

Committee Affiliation Contact Us Matthew A. Murray Membership Charles Schwab & Co., Inc. 111 Pavonia Avenue East Suite 300 Jersey City, NJ 07310 (201) 610-2530 Tel (201) 610-2575 Fax EMAIL: matthew.murray@schwab.com Chris Plagge Event Planning - Education, Entertainment JP Morgan Chase & Co. 277 Park Avenue 23rd Fl. New York, NY 10172 (212) 622-6315 Tel (646) 534-1721 Fax EMAIL: christopher.plagge@jpmorgan.com John Schmidt Education National Financial Services LLC 1 World Financial Center 200 Liberty Street NY5A7 New York, NY 10281 Tel: (212)-335-5402 Fax: (917)-790-7036 Email: john.schmidt@fmr.com Lawrence Morillo NYSE Liaison Committee Pershing LLC One Pershing Plaza, 9th...

Honorary Members

Wed, 27 Jun 2007 19:47:32 GMT


Name	Year
Michael Calabro	1994
Vincent S. Puccia	1993
John J. Reinhardt	1985
Michael J. DeMarco	1972
Sam Minsky	1972

Past Presidents

Wed, 27 Jun 2007 19:46:45 GMT

Name Year Name Year + Ambrose J. Verlin 1938-1939 * Thomas E. Loebs 1973 + Charles J. Kuhback 1940-1941 + Joseph Racaniello 1974 + Walter L. Wright 1942-1943 Francis H. Powers 1975 + LeRoy Dando 1944 Paul Underwood 1976-1977 * John L. McDonald 1945-1946 Gerard P. Lynch 1978 + Leslie G. Schoenhart, Sr. 1947 Walter F. Siebecker 1979 + Edward R. Rimmels 1948-1949 William J. Tierney, Jr. 1980 + Richard M. Trickey 1950-1951 Kevin Young 1981 * D. Lionel Howedel 1952-1953 Vincent Morano 1982 + James J. Duddy 1954 Patrick Mackin 1983 + T. Alvan Cowen 1955 Henry C....

SOD NewsViews March 2006

Wed, 18 Apr 2007 16:50:44 GMT

From the Securities Operations Division of the Securities Industry Association March 2006 A monthly digest of securities clearance, settlement and related regulatory news for SOD members. Clearance & Settlement Headlines 03/31 DTC Prepares for OFAC Implementation READ> 03/28 DTCC Subs Propose Rule to Deal with Wind-downs READ> 03/28 FICC GSD Collateral Substitution Process Changed READ> 03/27 DTC to Add Buy-In Retransmittals to SMART/Track READ> 03/27 FICC Clarifies GCF Forward Mark Calculation READ> 03/23 NSCC Plans to Process Non-Standard Settlement Trades in CNS READ> 03/10 NSCC, FICC Propose Clearing Fund Premium READ> 03/09 DTCC Adds Thunderhead XML Adapter to Deriv/SERV READ> 03/08 NSCC Networking to Support SEC Rule 22c-2 READ> 03/02 FICC Rule Change Clarifies Practice of Assuming Blind Brokered Fails READ> 03/01 OCC Clearing Fee Refund Nears $50 Million READ> 03/01 DTCC Discounts & Rebates Yield $528 Million READ> 02/28...

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Mon, 16 Apr 2007 20:24:26 GMT

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SOD NewsViews November-December 2004

Mon, 16 Apr 2007 19:54:37 GMT

From the Securities Operations Division of the Securities Industry Association November-December 2004 A digest of the preceding two months’ securities clearance, settlement and related regulatory news for SOD members. Clearance & Settlement Headlines 11/30 FICC’s MBS Division Eliminates Mortgage Banker Membership GO> 11/30 DTCC Streamlines Online ID Registration GO> 11/26 DTC Expands IMS Submission and Recycling Capabilities GO> 11/26 DTC to Stop Processing Next-Day Matched Reclaims GO> 11/22 DTCC to Automate Processing of Restricted Securities GO> 11/22 FICC Government Division to Impose Margin Premium Penalties GO> 11/15 DTC Archived Reports Migrate to SMART/Search GO> 11/08 FICC Government Division Revises Netting Service Pricing GO> 11/02 NSCC to Report Section 31 “Don’t Count” Values GO> 10/20 DTCC Enhances Payment Processing for Credit Default Swaps GO> 10/13 FICC Revises Rule on Repo Brokers Forward...