SIFMA Compliance & Legal Society

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.

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Coming Soon to a City Near You!

In addition to our Annual Seminar, SIFMA’s C&L Society offers valuable professional development opportunities for compliance and legal professionals across the country. Explore our recent and upcoming Regional Seminars and Forums today.

Upcoming Events

C&L Regional Seminar: Midwest
June 24, 2025 | Maryland Heights, MO

C&L Regional Seminar: Southeast
September 9, 2025 | Charlotte, NC

C&L Forum: New York
September 30, 2025 | New York, NY
Hosted by the C&L Future Leaders

C&L Regional Seminar: Northeast
October 15, 2025 | New York, NY

Stay Tuned! More Forums are coming to Dallas, Boston, and St. Petersburg in 2025.

The SIFMA C&L Annual Seminar

SIFMA’s C&L Annual Seminar is the preeminent meeting place for compliance and legal professionals in financial services to gain an understanding of what’s next for the markets and the clients we serve. From March 23-26, 2025, we gathered for our very first trip to Austin, TX. Watch select mainstage sessions on demand, explore our official Seminar Debrief, and mark your calendar – the 2026 SIFMA C&L Annual Seminar is headed to Orlando from March 22-25. Registration opens in Fall 2025!

Future Leaders

The SIFMA Compliance & Legal Society, through its Future Leaders initiative, connects individuals who are new to the industry, those who are rising in their careers, and those who 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 Inclusion 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.

We are thrilled to announce that Mary Schapiro is the recipient of our 2025 Award! Congratulate Mary and join us as we recognize her at the Annual Seminar.

The Inclusion Advocate Award

The SIFMA C&L Society Inclusion Advocate Award celebrates legal and compliance professionals who have demonstrated outstanding dedication to promoting inclusion and advancing equal opportunity in the financial services industry. The award also highlights efforts to ensure that the future leadership of the industry better reflects the wide range of experiences and backgrounds in our society.

We are thrilled to announce that Yoon-Young Lee is the recipient of our 2025 Award! Congratulate Yoon-Young and join us as we recognize her at the Annual Seminar.