SIFMA Compliance & Legal Society

SIFMA’s C&L Society is the leading forum for compliance and legal professionals working in the financial services industry.

About the 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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Upcoming 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 Society Forum: New York
June 13, 2024 | New York, NY

C&L Society Forum: Boston
September 12, 2024 | Boston, MA

C&L Regional Seminar: Charlotte
September 23, 2024| Charlotte, NC

C&L Regional Seminar: New York
October 16, 2024 | New York, NY

C&L Society Forum: Dallas
November 7, 2024 | Dallas, TX



The 2024 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. Explore our Seminar Debrief from SIFMA Insights, watch select mainstage sessions on demand, join us at one of our upcoming Regional Seminars, and mark your calendar: the 2025 Annual Seminar will take place from March 23-26 in Austin, TX. We can’t wait to see you there!

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 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.

We are pleased to announce that Stephen M. Cutler has received the 2024 Rauschman Award!

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.

We are pleased to announce that Tonia Bottoms has received the 2024 DE&I Advocate Award!

Board & Officers

  • Alfred J. Rauschman

  • Edwin B. Peterson

  • Edward I. O'Brien

  • William J. Fitzpatrick

  • Philip J. Hoblin, Jr.

  • John P. Cione

  • David Marcus

  • Stephen L. Hammerman

  • Judith G. Belash

  • Saul S. Cohen

  • M. David Hyman

  • William R. Harman

  • Loren Schechter

  • O. Ray Vass

  • Stuart L. Sindell

  • Robert J. Albano

  • Robert I. Kleinberg

  • Kevin J. McKay

  • Allen B. Holeman

  • Robert C. Errico

  • James A. Tricarico, Jr.

  • Michael H. Stone

  • David A. DeMuro

  • Paul A. Merolla

  • Beth Dorfman

  • Edward Turan

  • Louise Guarneri

  • Howard R. Plotkin

  • Scott Bieler

  • David C. Prince

  • Elaine H. Mandelbaum

  • Michelle Bryan Oroschakoff