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 C&L Society is the leading forum for compliance and legal professionals working in the financial services industry. With a rich 50+ year history, it 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.

A Message from Our Leadership

Events & Webinars

SIFMA’s C&L Society develops valuable professional development offerings for compliance and legal professionals. Explore our upcoming webinars, watch on-demand content and earn CLE credit today.

C&L Regional Seminar: Charlotte
September 11, 2023 | Charlotte, NC

C&L Regional Seminar: New York
October 19, 2023 | New York, NY

C&L Forum: St. Petersburg
November 3, 2023 | St. Petersburg, FL

C&L Annual Seminar
March 17-20, 2024 | Orlando, FL

View SIFMA’s full event calendar and stay tuned for more event announcements!

 

Future Leaders

The SIFMA Compliance & Legal Society, through its Future Leaders initiative, connects individuals who are new to the industry, those that are rising in their careers, and those that aim to mentor, sponsor, and develop the next generation of leaders. Future Leaders look to what is next for the industry, bringing together resources, sourcing content, and planning forward-looking events.

Recognitions and Awards

The C&L Society recognizes leaders in the compliance and legal industry with the annual presentation of our Rauschman Award and DE&I Advocate Award.

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.

 

The DE&I Advocate Award

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

Nominations for the 2024 DE&I Advocate Award are now open! Submit your nomination today.

SIFMA’s Financial Management Society (FMS) represents industry professionals from broker-dealers, futures commission merchants, asset managers, public accounting firms and consulting firms. The Financial Management Society delivers relevant and timely information and events on new and existing financial, accounting and regulatory rules impacting the financial services industry.

The following Working Groups, led by subject matter experts, address issues important to SIFMA FMS:

• National Conference Programming Working Group
• Regional Conference Programming Working Group
• Education Day Programming Working Group
• Future Leaders Working Group

Questions? Contact the SIFMA Conferences team.