Securities Industry Institute | March 8-13, 2009 SIFMA and Wharton Event

Guest Speaker
John Taft, Head of RBC U.S. Wealth Management
Perspectives on the Financial Services Industry

Featured Opening Night Speaker
Steve Forbes, President and CEO, Forbes
How to Lead, (and Succeed) in Business in the 21st Century

Panel: Wall Street Comes to Wharton: Second Verse Same as the First?
Richard Bernstein, Chief Executive Officer, Richard Bernstein Capital Management
Jim Paulsen, Chief Investment Strategist, Wells Capital Management
Maria Fiorini Ramirez, President & Chief Executive Officer, Maria Fiorini Ramirez, Inc.,

Moderated by Sam Stovall, Chief Investment Strategist, S&P

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.

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: