Professional Societies

By facilitating the exchange of information among specialized professionals in the financial services industry, SIFMA's Societies prepare members for market changes and emerging trends.

SIFMA’s Compliance & Legal Society is the leading forum for compliance and legal professionals working in the financial services industry. Membership provides a unique opportunity for industry leaders and regulators to come together to share information and collaborate with the goal of ensuring our capital markets are the most fair, transparent and ethical in the world.

Financial Management Society (FMS) members are primarily made up of industry professionals from broker-dealers, futures commission merchants, asset managers, public accounting firms, and consulting firms.

The Financial Management Society delivers pertinent, relevant and timely educational information and events on new and existing financial, accounting and regulatory rules impacting the financial services industry. Annual events include the AICPA-FMS National Conference on the Securities Industry and FMS Regional Conference, each providing valuable opportunities for networking and career development.

The SIFMA Internal Auditors Society is a professional organization representing internal auditors from banks, broker-dealers, insurance companies, mutual funds, public accounting firms and self-regulatory agencies associated within the securities industry.

The primary mission of the IAS is to provide value to its membership, through educational seminars, conferences, luncheons, and courses covering topics of current interest to internal auditors and stakeholders in the internal audit community.

The Internal Auditors Society also produces Audit Guidelines on key issues in the securities industry, including Accounting, Branch Offices, Commodities, Information Technology, Financial Issues, Mortgage Backed Securities, Operations, Regulatory Issues, Trading Desks, Treasury Risk, Fraud Risk, Anti-Money Laundering and Foreign Exchange.

Each section offers unique educational and networking opportunities, yet is also strengthened by a collective affiliation in the Operations and Technology Society.

Corporate Actions Section
The Corporate Actions Section is a Section of the SIFMA Operations and Technology Society focused on education, networking, and the sharing of best practices in the corporate actions, proxy, and settlement sectors of the financial services industry. Its membership consists primarily of operations and technology professionals from broker-dealers, banks, accounting firms, clearing firms, asset management firms, and consulting firms.

Credit and Margin Section
The Credit and Margin Section is a Section of the SIFMA Operations and Technology Society focused on education, networking, and the sharing of best practices in the credit and margin sector of the financial services industry. Its membership consists primarily of operations and technology professionals from broker-dealers, banks, accounting firms, clearing firms, asset management firms, and consulting firms.

Customer Account Transfer Section
The Customer Account Transfer Section is a Section of the SIFMA Operations and Technology Society focused on education, networking, and the sharing of best practices in the account transfer sector of the financial services industry.

Securities Operations Section
The Securities Operations Section is a Section of the SIFMA Operations and Technology Society focused on education, networking, and the sharing of best practices in the operations sector of the financial services industry. Its membership consists primarily of operations professionals from broker-dealers, banks, accounting firms, asset management firms, and consulting firms.