Become A Member

Join SIFMA’s Compliance & Legal Society to stay connected and informed during this historic period of reform. 

As a member, you will be connected with compliance & legal professionals from broker-dealers, asset managers, mutual funds, consulting firms, regulatory agencies, and more. Our breadth of membership means you will be able to critically and effectively engage key issues affecting the compliance and legal functions of the industry.

Become a Member

Member benefits include: 

Peer-to-Peer Networking:  Membership provides opportunities for both formal and informal contacts with industry, regulatory and self-regulatory organizations to discuss matters of common concern and promote understanding of the compliance and legal functions in a dynamic regulatory environment.

Subcommittee Participation:  As a Member, you have the opportunity to participate on variety of C&L Society Subcommittees.  Subcommittees provide a forum to identify and issues facing our industry as well as interact with a diverse group of compliance and legal professionals representing a large number of firms. The Subcommitees are as follows:

  • Bank Regulatory
  • Compliance 
  • Legal
  • Institutional
  • International
  • Regional Firms 

Access to the Members-Only Section of the Society Website:  The website provides valuable resources available only to members. 

This includes: 

  • Notes and summaries from industry conferences and seminars, including remarks from the Society Monthly Luncheons
  • On-line document repository of seminar materials
  • On-line Membership Directory – the Membership Directory is available only to members of the Compliance & Legal Society and includes almost 2000 members.

Receive Priority Notification of Society Programs:   Members are the first to receive registration materials for all society-sponsored events.

Reduced Registration Fees for Society Events:  Members qualify for discounted registration fees for most Society events, including the Annual and Regional Seminars, Monthly Luncheons, and Audio Presentations.

Annual membership dues for the calendar year are:  

Industry member $50
Persons who are employees of organizations/firms whose activities are directly relates to the compliance and regulatory areas of the securities business

Counsel $150
Bar members associated with law firms in connection with matters relating to the securities business

Special $150
Consultants associated with a company who provides services to the securities industry. 

Regulatory $50
Employees of regulatory agencies, including but not limited to: the SEC, FINRA, the CFTC, Regional Exchanges, the State Attorney General's Office and the State Securities Commissioner Office

Become a Member

If you have any questions, please contact SIFMA's Office of Professional Societies at 212.313.1230 or .


Learn How ›

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