Through these awards, SIFMA recognizes the contributions of our members to the markets and the people behind them.

The DEI Advocate Award

The C&L Society is committed to advancing diversity, equity and inclusion in our industry. The Diversity, Equity & Inclusion Advocate Award celebrates legal or compliance professionals who have demonstrated an exceptional commitment to building creative solutions that address diversity, equity and inclusion inequities in the financial services industry and ensures the next generation of leaders reflects our diverse society.


Chris Lewis and Jacqueline LiCalzi Accept the Inaugural SIFMA C&L Society DEI Advocate Award

Chris Lewis and Jacqueline LiCalzi accept the inaugural SIFMA C&L Society DEI Advocate Award at the 2022 C&L Annual Seminar


The Rauschman Award

The Alfred J. Rauschman Award is presented by the Compliance & Legal Society annually to a candidate who has demonstrated significant contributions to the compliance and legal communities, promoted open communications among industry practitioners to share ideas and issues, fostered dialogue and communications with regulators and dedicated their career to the securities industry. Alfred J. Rauschman was a visionary in the securities industry compliance and legal profession who served as the Society’s first President.


Paul Merolla accepts The Rauschman Award at the 2022 SIFMA C&L Annual Seminar