Overview

Join the SIFMA Compliance & Legal Society at one of our special luncheon presentations. Registration is now open for the January luncheon, a conversation with Robert Cook, President and Chief Executive Officer, FINRA and Ira D. Hammerman, Executive Vice President and General Counsel, SIFMA.

C&L Society January Luncheon

C&L Luncheon – Until 1/23/19

  • C&L Society Members $55
  • Non-Members $85

Overview

Join the SIFMA Compliance & Legal Society at one of our special luncheon presentations. Registration is now open for the January luncheon, a conversation with Robert Cook, President and Chief Executive Officer, FINRA and Ira D. Hammerman, Executive Vice President and General Counsel, SIFMA.

Program

12:00pm – 2:00pm

Participants

Robert W. Cook

Speaker

Robert W. Cook

President and Chief Executive Officer

FINRA

Robert W. Cook’s Biography

Venue

Harvard Club of New York

35 W 44th St
New York, NY 10036

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181

Media Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official press policy.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.

Substitutions
Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a processing fee and must be made in writing.