The Compliance and Legal Society of the Securities Industry and Financial Markets Association, through the efforts of its members, has worked to foster an effective self-regulatory system for the securities industry for over forty years.

Through educational programs, communication and advocacy, the Society works to preserve and enhance the reputation of the industry and prepare its members for market changes and new trends.
  
 
UPCOMING EVENTS:

 May 5th - May 7th, 2010

2010 Annual Seminar
Gaylord National Hotel & Convention Center
Washington D.C. Area - National Harbor

Registration Now Open
 To Register, please click here.

Hotel Room Information
Room Block is Sold Out.
 
We recommend you continue to periodically call the hotel from now until the Seminar start date of May 5th for possible openings due to cancellations.

For Reservations, call (301) 965 - 4000
Provide Room Block Name: SIFMA CL 2010 Seminar

Other local National Harbor hotels next to the Gaylord National are the Residence Inn National Harbor (for website, click here) and Westin Washington National Harbor ( for website, click here).
Please Note: SIFMA CL does Not have a room block at these hotels.

 
SEMINAR BROCHURE
To view the Seminar Brochure, please click here. 

 
 
EXHIBITOR OPPORTUNITY AVAILABLE

Benefits as an Exhibitor:
 
   * Network face-to-face with potential clients and reconnect with existing clientele
 
   * Achieve name and brand recognition and heightened awareness in the industry
 
   * Demonstrate your company's commitment to the Compliance & Legal community 

  * Establish valuable relationships with individuals who will make decisions about the use of your company's services or products

To Register as an Exhibitor, please click here.

EXHIBITOR FEE: $6,000




 
 
 

 

SIFMA-CL June 2009 Monthly Luncheon Notes

June 2009 - Monthly Luncheon The Harvard Club • New York, NY Thursday, June 25th of 2009 Luncheon Speakers: Moderator R. Gerald Baker Executive Director, SIFMA-CL Panelists Hans Reich Regional Director, New York, FINRA Mary Ann Gadziala Associate Director, SEC, Office of Compliance Inspections and more

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2010 Annual Seminar
  May 5 -  
  May 7
    2010 SIFMA CL Annual Seminar
 
 
 
     To view the Schedule at a Glance, please click here.
 
 
Regional Seminars
  2010 Regional Seminars To Be Announced

  

 


2010 General Monthly Luncheons
 

January: Tuesday, January 19th
February: Wednesday, February 17th
March: Tuesday, March 16th
April: Tuesday, April 20th
                No May Luncheon
June:  Tuesday, June 15th
July: Tuesday, July 20th
                No August Luncheon
September: Tuesday, September 21st
October: Tuesday, October 19th
November: Tuesday, November 16th
December: Tuesday, December 21st