SII

WHARTON
March 2009

What Is the Securities Industry Institute®?

Founded in 1952, SII is one of the longest running executive education programs for the financial services industry. The mission of SII is to equip each participant with practical information, ideas, and answers directly applicable to their present and future responsibilities. The Securities Industry Institute® is a three-consecutive year program with a customized executive curriculum that is redesigned each year to reflect the needs of an ever-changing and ever-challenging business.

Who Should Attend the Securities Industry Institute®?

Professionals in all areas of the financial services industry, including members of the exchanges and regulatory agencies, will benefit. Participants are typically selected by their firms to attend and when firms select candidates for SII, it is a demonstration of faith in leadership.

Below are some of the functional areas that were represented at SII 2010:

Operations and Technology Wealth Management Sales and Trading Legal, Compliance and Regulation

Accounting, Finance and Audit Risk Management Human Resources/Employee Relations

The Curriculum

The SII program examines current thinking in economics, finance, management, marketing, professional development, and operations; familiarizes participants with the challenges facing the securities industry; and provides opportunity for interchange among participants and with the industry and academic leaders who serve as faculty.  SII utilizes a variety of class formats—from general sessions to individual class sessions, panel discussions to small workshops—many supplemented with pre-course work and case studies. The curriculum embraces a combination of practical information, theory, and broad issues.

Courses fall into the following areas:

	I. Industry Knowledge	Regulation / Compliance / Ethics Technology / Operations / Productivity
	II. Investment Knowledge	Finance / Markets /Strategies Products / Marketing / Sales
	III. Professional Skills      Development	Leadership / Management Personal Development

Feedback from 2010 Participants “The program was terrific. I expected great content, but I didn't realize it would be so helpful in the development of my leadership skills. I was pleasantly surprised at how the program helped me look inward and find ways to make myself a better leader and member of our industry.” “I truly enjoyed the 3-year program and feel that many of the classes over the years contributed directly to helping me continue to grow as a financial services professional.” “As a business leader, all of the strategic, leadership and historical perspective classes are invaluable.”

Those selected as faculty
are leaders in their field of
expertise, chosen because
of their knowledge and
their ability to convey that
knowledge effectively.

Below is a list of a few of the
well-known speakers who have
served on our faculty:

Ralph Acampora
New York Institute of
Finance

 

Steve Forbes
Forbes

Roch Parayre
The Wharton School

Jeffrey Rosensweig
Emory University

Sam Stovall
Standard & Poor’s

John Taft
RBC Wealth Management

Paul Tiffany
The University of California,
Berkeley

- SIFMA Members: $4,000
- SIFMA Non-Members: $6,000

For information on SII, contact:

Ryan Diorio
212-313-1253
rdiorio@sifma.org

For more information on sponsorship opportunities, please contact:

Diana Serri
Vice President, Sales and Exhibit
212.313.1258 | dserri@sifma.org