The Alfred J. Rauschman Award is presented by the 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. The humble roots of SIFMA’s Compliance & Legal Society go back to a time in the late 1960’s when Al Rauschman and a group of his contemporaries began meeting informally to discuss current compliance, legal and regulatory topics affecting the securities industry. These early efforts led ultimately to the founding of what is today known as the SIFMA Compliance & Legal Society, and Al Rauschman served as its first President.

Rauschman Award Recipients

  • Paul Merolla (2022)
  • Anette Nazarath (2019)
  • Ted Levine (2018)
  • Ed Turan (2017)
  • Jim Tricarico (2016)
  • Joe Polizzotto (2015)
  • David A. DeMuro (2014)
  • Loren Schechter (2013)
  • George Schieren (2010)
  • Jerry Baker (2009)
  • Stuart Sindell (2007)
  • Saul Cohen (2005)
  • Michael H. Stone (2004)
  • Richard M. Drew (2001)
  • Judith G. Belash (2000)
  • Robert I. Kleinberg (1999)
  • O. Ray Vass (1998)
  • Stephen L. Hammerman (1997)
  • David Marcus (1996)
  • Philip Hoblin (1995)
  • William J. Fitzpatrick (1994)
  • Edwin B. Peterson (1993)
  • Alfred J. Rauschman (1992)

Paul Merolla accepts the 2022 Rauschman Award

Annette Nazareth accepts the 2019 Rauschman Award

Ted Levine accepts the 2018 Rauschman Award

Ed Turan accepts the 2017 Rauschman Award

Jim Tricarico Accepts the 2016 Rauschman Award

Jim Tricarico Accepts the 2016 Rauschman Award