SCSGP, Society of Corporate Secretaries and Governance Professionals
The SCSGP, formerly known as the American Society of Corporate Secretaries, founded in 1946, has over 4,000 members representing approximately 2,800 companies. Its members deal with public disclosure under the securities laws and matters affecting corporate governance, including the structure and meetings of the board of directors and its committees, the proxy process and the annual meeting of shareholders and shareholder relations, particularly with large institutional owners.
www.governanceprofessionals.org
STA, Securities Transfer Association
The Securities Transfer Association, Inc. is a national organization whose mission is to focus on the servicing its ultimate customer, securities investors in the United States and Canada. The STA provide representation and leadership in those issues which affect the membership, including government regulation and industry practices. It encourages and promotes an interchange of information, experience, and ideas, among the association membership. The organization also conducts surveys, studies, and holds conferences and meetings on matters of interest to the membership. The STA publishes and circulates books, pamphlets and articles in connection with the activities and interests of the association and its membership.
www.stai.org
SSA, Shareholder Services Association
Founded in 1946, the SSA, formerly known as the Corporate Transfer Association, provides members a forum to communicate with their industry peers, to obtain and share information and to address various needs of member companies in servicing all types of security holders. It’s more than 240 corporate and agent members reflect the diversity found in every facet of the securities industry.
www.shareholderservices.org
NICSA, National Investment Company Service Association
NICSA is the leading provider of independent education and networking forums to professionals in the global investment management community. NICSA was established in 1962 as a forum for operations and shareholder servicing professionals in the mutual fund industry. Today, NICSA is a network of nearly 10,000 business professionals from within the investment management industry and the firms that support the industry, including mutual fund complexes, investment management companies, custodian banks, transfer agents and independent providers of specialized products and services. The Association consists of more than 250 corporate member firms with over 600 member offices operating in major financial centers around the world. NICSA offers the most comprehensive range of services in the industry, allowing members to learn, network and share best practices locally, nationally and globally.
www.nicsa.org
SIFMA, Securities Industry and Financial Markets Association
The Securities Industry and Financial Markets Association (SIFMA) brings together the shared interests of hundreds of securities firms, banks and asset managers. SIFMA’s mission is to develop policies and practices which strengthen financial markets and which encourage capital availability, job creation and economic growth while building trust and confidence in the financial industry. SIFMA, with offices in New York and Washington, D.C., is the U.S. regional member of the Global Financial Markets Association (GFMA).
www.sifma.org
FINRA, The Financial Industry Regulatory Authority
The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA oversees nearly 4,750 brokerage firms, about 167,000 branch offices and approximately 633,500 registered securities representatives.
Created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services.
www.finra.org
SIPC, Securities Investor Protection Corporation
SIPC is an important part of the overall system of investor protection in the United States. While a number of federal, self-regulatory and state securities agencies deal with cases of investment fraud, SIPC’s focus is both different and narrow: restoring funds to investors with assets in the hands of bankrupt and otherwise financially troubled brokerage firms.
When a brokerage firm is closed due to bankruptcy or other financial difficulties with customer assets, SIPC steps in as quickly as possible and, within certain limits, works to return customers’ cash, stock and other securities. Without SIPC, investors at financially troubled brokerage firms might lose their securities or money forever or wait for years while their assets are tied up in court.
www.sipc.org
UPPO, Unclaimed Property Professionals Organization
Founded in 1992, at the annual conference of the National Association of Unclaimed Property Administrators, UPPO is a complementary association of corporate unclaimed property administrators articulating the concerns of the holders of unclaimed property and serving as liaison with the states. UPPO is recognized by NAUPA and other entities involved in the areas of unclaimed property as the voice of the holder community.
www.uppo.org
NAUPA, National Association of Unclaimed Property Administrators
NAUPA is a non-profit organization affiliated with the National Association of State Treasurers. Members represent all states and the District of Columbia. NAUPA provides a basic forum for continuing discussions on interstate cooperation, education, training, uniform laws, reporting requirements and increasing the public awareness of the role the states play in protecting their property.
www.unclaimed.org
