Resources

SIFMA Compliance and Legal Society Resources

White Papers

The Evolving Role of Compliance (March 2013)

White Paper on Arbitration in the Securities Industry (October 2007)

White Paper on the Role of Compliance (October 2005)


ANNUAL SEMINARS

2016 Event Guide March 13- 16, 2016: Annual Seminar  

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CL 2015 Cover March 15- 18, 2015: Annual Seminar  

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2014 March 30- April 2, 2014: Annual Seminar  

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2013 Agenda

March 17-20, 2013: Annual Seminar  

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2012 Cover March 18-21, 2012: Annual Seminar  

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Annual Seminar

March 20-23, 2011: Annual Seminar  

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Annual Seminar

May 5-7, 2010: Annual Seminar  

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Annual Seminar

March 22-25, 2009: Annual Seminar

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Annual Seminar

March 30-April 2, 2008: Annual Seminar

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Annual Seminar

March 25-28, 2007: Annual Seminar

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REGIONAL SEMINARS

January 26, 2017: C&L Society Denver Regional Seminar

November 2, 2016: C&L Society New York Regional Seminar

September 19, 2016: C&L Society Charlotte Regional Seminar

August 4, 2016Compliance and Legal Society San Francisco Regional Seminar

June 14, 2016: C&L Society St. Louis Regional Seminar

January 28, 2016: C&L Society Denver Regional Seminar

November 2, 2015: Compliance and Legal Society New York Regional Seminar 

September 28, 2015Compliance and Legal Society Charlotte Regional Seminar

August 6, 2015Compliance and Legal Society San Francisco Regional Seminar

June 16, 2015: Compliance and Legal Society St. Louis Regional Seminar

October 2, 2014: Compliance and Legal Society New York Regional Seminar

September 22, 2014 : Compliance and Legal Society Charlotte Regional Seminar

 August 6, 2014Compliance and Legal Society San Francisco Regional Seminar

June 3, 2014: Compliance and Legal Society St. Louis Regional Seminar

October 28, 2013: Compliance and Legal Society New York Regional Seminar

September 30, 2013: Compliance and Legal Society Charlotte Regional Seminar

August 1, 2013: San Francisco Regional Seminar

June 5, 2013: St. Louis Regional Seminar

November 14, 2012: New York Regional Seminar

September 24, 2012: Charlotte Regional Seminar

June 13, 2012:  St. Louis Regional Seminar

October 25, 2011: New York Regional Seminar

June 22, 2011: St. Louis Regional Seminar

November 16, 2010: Fall Compliance & Legal Seminar

June 30, 2010: St. Louis Regional Seminar  


MONTHLY LUNCHEONS

Insights from the Supreme Courts's Affirmative Action Case Fisher v UT Austin

Understanding the DOL's new BIC Exemption, and Ideas on Next Steps to Take In Your Firm 

Jamila Piracci (National Futures Association)

Richard Ketchum (FINRA)

Eric Grossman (Morgan Stanley) & Doug Hallward-Driemeier (Ropes & Gray)

Thomas Baxter (Federal Reserve Bank of New York)

J. Bradley Bennett (FINRA)

A Discussion with Michael Osnato (SEC) moderated by Robert Khuzami (Kirkland & Ellis)

Kevin Piccoli (CFTC)

Robert Sollazzo (SEC)

Rick Ketchum (FINRA)

Kenneth E. Bentsen, Jr. (SIFMA)

Stephanie Avakian (SEC)

Wall Street Women: Careers, Opportunities and Challenges

Kevin Goodman (SEC)

J. Bradley Bennett (FINRA)

Norm Champ (SEC)  

Carlo di Florio (FINRA)

FINRA Exam Program

John Ramsey (SEC)

Challenges, Opportunities and Best Practices for Diversity & Inclusion Within Compliance & Legal Departments and Our Regulators

Andrew Ceresney (SEC)

Cybercrime and Money Laundering: The FBI Perspective

Regulators Unplugged: Former Regulators Discuss the Current Regulatory Landscape

Susan Axelrod (FINRA)

Rick Ketchum (FINRA)

David Meister (CFTC)

Marc Menchel (FINRA)

Joseph Price (FINRA)

A Discussion with Robert Khuzami (SEC) and Richard Walker (Deutsche Bank)

J. Bradley Bennett (FINRA)

Grace Vogel (FINRA)

Daniel M. Hawke (SEC)

Susan Axelrod (FINRA)

Carlo di Florio (SEC)

Andrew Calamari (SEC)

Norm Champ (SEC)

Stephen Luparello (FINRA)


BREAKFAST MEETINGS


March 3, 2017: Salt Lake City Breakfast

November 18, 2016: St. Petersburg Breakfast

October 21, 2016: San Diego Breakfast

September 16, 2016: Toronto Breakfast

July 15 2016: Minneapolis Breakfast

 October 23, 2015: Minneapolis Breakfast

October 9, 2015: Dallas Breakfast

September 25, 2015: Chicago Breakfast

May 1, 2015: St. Petersburg Breakfast

January 23, 2015: Denver Breakfast


OTHER EVENTS

October 26, 2015: C&L Meet FINRA 

February 26, 2014: Compliance & Legal Society - The Evolving Role of Compliance

January 14, 2014: Compliance and Legal Cross Border Regulation in the Global Marketplace

October 3, 2011: Afternoon Seminar and Reception

July 20, 2011: Afternoon Seminar and Reception

June 20, 2011: Afternoon Seminar and Reception

May 3, 2011: Breakfast Educational Seminar

June 14, 2010: SIFMA Society Reception

September 16, 2010: Minneapolis Event
September 27, 2010: Philadelphia Event
April 8, 2010: Breakfast with Regulators


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