Legal Sub-committee

Mission Statement of Sub-Committee:

The Sub-Committee will regularly monitor, analyze and discuss litigation, legislative, and regulatory issues of importance to the industry, with particular attention paid to those issues identified by the SIFMA Compliance & Legal Society Executive Committee. On selected material issues, the Sub-Committee will advocate the industry’s position through the filing of Amicus Briefs; the development and publication of White Papers; the submission of Comment Letters; and the facilitation of and participation in meetings with senior regulatory and legislative staff members. The Sub-Committee will coordinate its efforts with the Compliance and Legal Society Executive Committee and with other Committees and Organizations within SIFMA. The Sub-Committee will meet monthly by phone and quarterly in person in New York City. 

  Katherine Kessler

  Citigroup Inc.

  Mary Reisert
  Citigroup Inc.

  Patricia Solfaro

  Credit Suisse First Boston

  Mike Stone

  Henry Sanchez, Jr.

  LPL Financial