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 Block Opening
 Thursday, February 11th at 1:00pm EST / 10:00am PST
 
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



REMINDER TO CURRENT MEMBERS
 
Make sure your member profile is up to date with your current contact information (email & mailing address), to ensure you receive C&L eblasts regarding Monthly Luncheons, Regional Seminars, and the 2010 Annual Seminar.
 
("Yes" must be checked on your member profile for the question: "Do you wish to receive Divisional email?" in order to receive eblasts.)

 
 

 

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