SIFMA C&L Annual Seminar


March 15 - March 18, 2020


Orlando, FL


SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. This seminar provides a unique opportunity for industry leaders and regulators to gather for three days of information sharing, networking and collaboration.

With noted keynote speakers and 60+ in-depth breakout sessions, participants earn CLE credit while discussing the latest industry developments and collaborating on best practices.

What to Expect at C&L Annual


Watch 2019 Livestream Replays

Watch livestream replays from SIFMA’s 2019 C&L Annual Seminar to watch select sessions on the latest industry developments for compliance and legal professionals working in the financial services industry:

  • Enforcement Panel with SEC, SDNY, CFTC, FINRA
  • Regulatory Panel with FINRA, OCC, SEC


2019 Keynote Speakers

Our 2019 Raushcman Award Winner

Program Tracks

Mix and match from eight program tracks to build your personalized agenda.

Capital MarketsCPM
Diversity & InclusionD&I
Future LeadersFL


JW Marriott Orlando, Grande Lakes

4040 Central Florida Parkway
Orlando, FL 32837

The seminar meeting space will be on the JW Marriott side of the Grande Lakes complex.

Picture of venue


SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. Parts of this program will be available for CLE credits. Fee reduction may be available for qualified registrants.

It is the responsibility of the registrant to comply with all rules and regulations governing the jurisdictions in which the attendee is seeking credit. Panel attendance must be certified by each registrant seeking CLE credits. Attendees do not need to certify after each panel. CLE Credit cannot be certified after the Seminar adjourns.

When registering for the conference, make sure to check the box for CLE Credit. There is an additional charge of $75 for CLE Credit and you may select up to three states to receive CLE credit. CLE rates will increase to $150 onsite.

SIFMA will seek CLE Credit for this program in the following states:

  • AK
  • AL
  • AR
  • AZ
  • CA
  • CO
  • CT
  • FL
  • GA
  • IA
  • IL
  • IN
  • KS
  • KY
  • LA
  • MA
  • ME
  • MI
  • MN
  • MO
  • MT
  • NC
  • NE
  • NJ
  • NY
  • OH
  • OR
  • PA
  • SC
  • TN
  • TX
  • VA
  • WA
  • WI


Media Inquiries
Contact Lindsay Gilbride at 202.962.7390

Media Registration
Contact Evan Grogan at 212.313.1134

Select sessions at this event will be open to the press.

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.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

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.

Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.

Golf Tournament, Run for a Purpose and other activity charges will not be refunded after March 1, 2019