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The Compliance and Legal Division 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 Division works to preserve and enhance the reputation of the industry and prepare its members for market changes and new trends. EVENT UPDATES:
May Monthly Luncheon
Tuesday, May 20th, 2008
THE HARVARD CLUB, NY
To register for this event, please click here.
For more information on this event, please click here.
Treasury Department:
BLUEPRINT FOR A MODERNIZED FINANCIAL REGULATORY STRUCTURE Released MARCH 31, 2008
SIFMA-CL NEWS & NOTES RELEASED
Jan 11, 2008
We are pleased to release the C&L Division's News and Notes highlighting the spectacular 2007 Annual Conference. Please click here to view.
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