Featured Event

Monthly Luncheon

Compliance and Legal Society San Francisco Regional Seminar

August 6, 2014

San Francisco, CA

This one day program features discussions on the changing face of AML, the SEC & FINRA exam priorities and more.

Join the Compliance and Legal Society

Join the Compliance and Legal Society

2014 Membership

2014 SIFMA Compliance & Legal Society Membership is now open!

Compliance and Legal Society Charlotte Regional Seminar

Compliance and Legal Society Charlotte Regional Seminar

September 22, 2014

Charlotte, NC

This one day seminar will feature presentations by leading securities regulators and industry professionals.


Join SIFMA

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