SIFMA Corporate Actions Division

Membership Application

Mon, 07 Apr 2008 15:57:34 GMT

THE CORPORATE ACTIONS DIVISION, INC. SIFMA MEMBERSHIP APPLICATION (click here for pdf version of membership application) Firm Name: Address: City/State/Zip: Clearing Number: Please indicate which member will be the Firm Coordinator (Name): Member Name: Member Title: Department: Work Telephone: Fax Number: EMail Address: Member Name: Member Title: Department: Work Telephone: Fax Number: ...

Standard & Poor's

Wed, 26 Mar 2008 17:19:50 GMT

Standard & Poor’s provides corporate action services that actively tracks corporate actions and changes affecting securities worldwide. Our vast capabilities assist with global straight through processing (STP), global clearance and settlement, compliance, security master file maintenance, data management and operations, mutual fund and client statement evaluations.

Standard & Poor’s is the world’s foremost provider of global reference data solutions including securities identification, independent evaluations and credit ratings, risk management tools and descriptive information to support investment managers and securities professionals worldwide.

Maria McIsaac
Standard & Poor’s
55 Water St., 45th FL.
New York, NY 10041
212-438-4589
maria_mcisaac@sandp.com
www.standardandpoors.com

Broadridge Financial Solutions, Inc.

Mon, 10 Mar 2008 18:24:25 GMT

Broadridge Financial Solutions, Inc., formerly ADP Brokerage Services Group, is the largest processor and provider of shareholder communications in the U.S. and Canada, a leading position attributed to decades of World Class Service, experience and reliability. Broadridge’s wide range of services reduce the expenses associated with your communications, increase service levels, increase compliance, and allow you to focus on your core business. Outsource the distribution of your reorganization information and responses to Broadridge’s ReorgPlus® system, and you’ll save time, money and manpower. A cost-effective alternative to in-house processing, our fully automated, highly efficient, electronic system provides: • Continuous monitoring of pending information • Capacity to meet both electronic and hard copy distribution of any size • Complete management of the shareholder response process • Distribution of all materials to your customers within 48 hours of receipt •...

Advisory Council

Tue, 22 Jan 2008 18:07:46 GMT

Advisory Council John Byrne Deutche Bank Securities Inc. Linda Bookheim S.W.I.F.T. Charles Price Xcitek John Dolan Exchange Data International Michael Duncan Mellon Investors Services Joseph Gallo Fortis Securities LLC Karl Baker The Depository Trust and Clearing Corp. Kathryn Guillou Ridge Clearing & Outsourcing Solutions Inc. Christopher Madigan Fidelity: ActionsXchange Edwin Mecabe Hudson Bay Capital Management, LP Adam Miranda Morgan Stanley Barbara Panzer Deliotte & Touche Judith Smith Morgan Stanley Lorraine Morrison The Depository Trust and Clearing Corp.

Advisory Board

Wed, 03 Oct 2007 18:09:29 GMT

Advisory Board All are Past Presidents * Rafael Dieppa Securities Indursty and Financial markets Assonciation Raymond DiSanza Charles Schwab & Co Tai May Lee Hudson Bay Capital Management LP John Wagner Morgan Stanley Thomas Navarria A.G. Edwards & Son * Agostino M. Ricci Securities Industry and Financial Markets Association * Neil Sherron Caxton Associates LLC *Emil A. Soldati Tradition Asiel & Co * Denotes President Emeritus

Committees

Thu, 20 Sep 2007 21:27:12 GMT

Introduction The Corporate Actions Division is a progressive organization that continues to strive toward bringing problems and/or issues to the forefront of the securities industry. We are always seeking input and your participation in the committees addressing today’s problems, as well as tomorrow issues. If you are interested in participating in a committee or wish to provide feedback on a problem or issue, please contact the committee chairperson highlighted below: INDUSTRY COMMITTEES STP COMMITTEE CHAIR: JOHN WAGNER This newly formed committee’s purpose will be to identify potential issues within the Corporate Actions environment arising from the industry conversion to a T+1 settlement cycle. We are actively pursuing membership participation in a series of round table discussions to begin discussing this issue and the impact on Corporate Actions. PROXY COMMITTEE CHAIR: LEWIS TREZZA A committee dedicated to identifying and addressing today’s problems, as well as...

Panel 3 - Newsletters

Tue, 24 Jul 2007 20:18:36 GMT

The Corporate Actions Division newsletter is published by the division providing updates on division initiatives and issues within the industry.

Read our latest newsletter

Visit our newsletter archive

Panel 4 - Become a Member

Wed, 11 Jul 2007 17:33:44 GMT

The Corporate Actions Division, a Division of SIFMA, invites you to become a member.

Our division focuses specifically on corporate action and proxy matters. >more

Benefits of Membership

Membership Application

Become a Member

Wed, 11 Jul 2007 17:32:04 GMT

At over 400 strong our membership represents a cross-section of the securities industry with members from brokers, banks, corporations and service providers. If you are involved in any aspect of these areas of the securities industry you should consider joining the Corporate Actions Division. Our diverse member base allows the division to draw on individuals with expertise in all areas of corporate actions and proxy processing. Members are always encouraged to provide feedback or participate in the initiatives of the division.

Panel 5

Wed, 11 Jul 2007 16:03:52 GMT

Visit SIFMA's Career Center to find qualified financial services candidates.

The Corporate Actions Division appreciates the support of our sponsors.

Member Services

Fri, 29 Jun 2007 16:21:00 GMT

For your convenience and benefit, a variety of relevant links have been gathered and made available to you as a member of CAD.

Benefits of Membership

Fri, 29 Jun 2007 16:05:39 GMT

We offer our membership Diversity:

The Firms participating in the Division cover a wide range of services within the Financial Industry:

Banks,
Brokerages,
Depositories,
Service Providers,
Fortune 500 Companies
and more…

Industry representation:

A voice in improving todays’ business practices and establishing tomorrow’s goals.

The Corporate Actions Division has representation on a wide range of industry committees...

DTCC’s Corporate Action Advisory Board
Bond Market Association
Equity Repo Operations Task Force
and more.

Foster efficient operations and membership awareness through the creation of Division committees . . . .

STP Committee
P & I Clawback Committee

Services Provided:

Communication to the membership, for the membership.

Publications:

Annual Directory of Members
Quarterly Newsletters

Welcome

Thu, 21 Jun 2007 15:12:14 GMT

Welcome

Thank you. You have successfully logged into the Corporate Actions Division web site. As a member, you will have access to all areas of the site.

Quick Links

Manage Your Info
Edit my record/password

Please click here to log out.

Financial Information Incorportated

Mon, 18 Jun 2007 19:56:42 GMT

1 Cragwood Road 2nd Floor South Plainfield, NJ 07080 www.fiinet.com Financial Information, Incorporated (FII), the creator and publisher of the industry-recognized Annual Guide to Stocks, is the leading provider of Corporate Actions Notifications Data to the banking and brokerage industries.Since 1906, FII has offered the most comprehensive portfolio of Domestic Corporate Actions Services available. FII is pleased to announce the addition of Financial International Data Services (FIDS) and Financial Actions Alert Service (FAAS) to its premier portfolio of securities information services delivered via FII’s World Wide Web-based query system, FII Online.Over 600 companies now have access to FII Online, which allows thousands of company employees to rely on FII’s vast store of financial data.For additional information please contact:Philip J. Necci, Jr.Executive Vice PresidentManaging DirectorTel: 908-222-5320eMail: pnecci@fiinet.com

Telekurs Financial

Mon, 18 Jun 2007 19:55:57 GMT

For over 75 years, Telekurs Financial has been the world’s best source of global securities pricing and reference data. Today, we offer uniquely structured and encoded securities reference and corporate actions/events data, real-time market data and flexible portfolio-based pricing.

Telekurs covers over 2.6 million securities, and our database is distinguished both for global coverage and depth of pricing and descriptive information. Our legendary high quality and customer satisfaction are ensured through direct data sourcing (from 750 global sources), strict adherence to QA procedures, and the world-class service provided by our teams of analysts stationed in 18 global financial centers.

Telekurs services include,

Real-time market data feeds, available through simple APIs or standard platforms
Security descriptive, corporate action and reference information - uniquely structured and encoded to automate database updates and facilitate STP

For more information, please contact Telekurs (USA) on 203.353.8100 or email your inquiry to sales@tkusa.com.

Committee Response Letter

Wed, 25 Apr 2007 23:11:56 GMT

January 13, 2000 Securities and Exchange Commission Attn: Jonathan G. Katz, Secretary 450 5th Street, N.W. Washington, DC 20549-0609 RE: File No. S7-26-99 Dear Mr. Katz: Thank you for the opportunity to comment on the proposed rule change regarding Delivery of Proxy and Information Statements to Households. The Corporate Action Division of the Securities Industry Association endorses forwarding a single proxy or information statement to two or more beneficial shareholders sharing the same address (Householding). We support the concept of allowing broker/dealers and banks (intermediaries) on a voluntary basis to Household proxy and information statements inclusive of combined proxy statements/ prospectuses. Although householding could eliminate what shareholders perceive to be duplicated or wasteful mailings, we feel that Householding ultimately provides a financial remedy to the issuers by reducing their printing and mailing expense for the required mailing of proxy ballots, proxy...

Home Page - Tagline

Tue, 17 Apr 2007 17:48:00 GMT

To improve business practice and quality of service in the field of corporate action processing; foster efficient operations; and where applicable, encourage uniformity of practice.