SIFMA Compliance & Legal Society
SIFMA’s Compliance & Legal Society is the leading forum for compliance and legal professionals working in the financial services industry.
About the SIFMA Compliance & Legal Society
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.
Board & Officers
Resources
Become a Member
Society members gain instant connections with fellow compliance & legal professionals from broker-dealers, asset managers, mutual funds, law firms, consulting firms, regulatory agencies and more. Our breadth of membership provides opportunities for members to critically and effectively engage on key issues affecting the compliance and legal functions of the industry.
Industry Member – $50
Employees of organizations/firms whose activities are directly relates to the compliance and regulatory areas of the securities business
Counsel Member – $150
Bar members associated with financial services or securities law firms
Special Member – $150
Consultants associated with a company who provides services to the securities industry
Regulatory Member – $50
Employees of regulatory agencies, including but not limited to: the SEC, FINRA, the CFTC, Regional Exchanges, the State Attorney General’s Office and the State Securities Commissioner Office
Member benefits include:
- Priority Access and Discounted Rates for Society Events
- Professional Development and Networking Opportunities
- Eligibility for CLE and Other Continuing Education Credits
- Access to the SIFMA C&L Society LinkedIn Group
If you have any questions, please contact SIFMA's Office of Professional Societies at 212.313.1150 or [email protected].