SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION

Programs

1. Statement of program service accomplishments continued development and maintenance of best practices that are conducive to efficient conduct of the business and members of the organization: business continuity and crisis management sifma leads industry-wide efforts to ensure firms can operate through significant emergencies using backup systems, recovery facilities, and redundant communications networks. Industry-wide business continuity test www.sifma.org/bcp-test each year, sifma coordinates a large-scale industry-wide business continuity test to evaluate firms' ability to operate under stress. Supported by all major exchanges, utilities, and market participants, the test includes transactions across equities, options, futures, fixed income, settlement, payments, treasury auctions, and market data. The exercise runs in coordination with the futures industry association (fia) and, in alternate years, with the investment industry regulatory organization of canada (iiroc). Industry-wide business continuity test www.sifma.org/bcp-test each year, sifma coordinates a large-scale industry-wide business continuity test to evaluate firms' ability to operate under stress. Supported by all…

2. Statement of program service accomplishments advocacy advocacy for issues of importance to its members: sifma brings together the shared interests of hundreds of broker-dealers, banks and asset managers. We advocate in support of effective and resilient capital markets. Sifma, on behalf of the financial services industry, engages with policymakers and regulators on a state, federal and global level through comment letters, testimony, studies and more. Sifma's goal is to ensure regulation is effective, balanced and consistent with its intended purpose, appropriately coordinated with other regulators and regulatory regimes, and avoids constraining capital formation and credit availability, or otherwise impeding the functioning of the markets and the individuals they serve. Treasury clearing the u.s. Securities and exchange commission (sec) adopted rules requiring most additional classes of treasury transactions, including repo and cast, to be centrally cleared. This represents one of the most significant structural changes to the treasury market in decades - with major implications for market participants, infrastructure providers, and regulators alike. Supporting implementation and…

3. Statement of program service accomplishments conferences and events www.sifma.org/events as the voice of the u.s. Securities industry, sifma hosts a dynamic calendar of conferences and events designed to inform, engage, and connect professionals across every corner of the capital markets. Sifma annual meeting as the voice of the u.s. Securities industry, sifma represents investment banks, wealth managers, broker-dealers, and asset managers in advocating for resilient, effective capital markets that serve corporations, governments, individuals, and more. Together, we are invested in america. Sifma's annual meeting is an invitation-only gathering that convenes the most influential voices in public policy and finance to examine the issues and opportunities shaping the markets, the industry, and the economy. Compliance & legal annual seminar for more than 50 years, sifma's c&l annual seminar has brought together compliance and legal professionals to learn, collaborate, and strengthen the integrity of our industry. Operations conference & exhibition sifma ops convenes the senior leaders who build, run, and oversee capital markets operations. Representing 300+ organizations across the…

4. Statement of program service accomplishments: other program services continued serving as a source of market information, including statistics on many facets of the market place and publishing research reports, trade newsletters and other periodicals and books.

The 4 programs described on its FY2024 Form 990, listed largest first by expense.