SIFMA C&L Society

Nominations for the 2025 DE&I Advocate Award are now open! Do you know someone who is disrupting the status quo? Nominate a legal and compliance professional who has demonstrated an exceptional commitment to DE&I today: https://bit.ly/46TW8rp This award celebrates legal and compliance professionals in financial services who have demonstrated diversity, equity, and inclusion. Any legal or compliance professional in the industry may be nominated. The deadline to submit is Friday, October 18, 2024. The award will be presented at the 2025 C&L Annual Seminar, taking place from March 23–26 in Austin. We can wait to see you there! #SIFMACL #SIFMADEI

"What hat will I wear today?" If you've ever asked yourself that question, this panel discussion is for you! At the #SIFMACL Forum in Boston, Abigail Armstrong, Amber Breimeir, Nick Losurdo, and Julie Lyman will discuss the potential difficulties faced by financial advisors when advising clients who invest through brokerage, investment advisory, or trust accounts, including questions such as: ✔️ What is the definition of fiduciary now that there is Reg BI, the DOL Rule, the Investment Advisers Act and state trust law? ✔️What are the pros/cons to structuring platforms and products on the front end versus supervising post-recommendation/sale? View the full program and register today. You'll spend a productive afternoon with colleagues hearing insightful discussions, earning CLE credits, and growing your network. https://bit.ly/3WEVxFh

We've just posted the program for the #SIFMACL Regional Seminar in New York! Explore it here: https://bit.ly/4fpp4eF We'll be sitting down for keynote conversations with Breon Peace, United States Attorney for the U.S. Attorney's Office for the Eastern District of New York, and Bill St. Louis, Executive Vice President and Head of Enforcement at FINRA Session topics will cover: 💡Current Developments in Capital Markets 💡Regulatory Challenges Amid the Evolution of AI 💡What's Top of Mind for GCs and CCOs 💡And more We can't wait to see you there!

In a discussion at the #SIFMACL Boston Forum, Katie Beirne Fallon, Executive Vice President and Head of Corporate Affairs at Fidelity Investments will share her perspectives on the November elections and what's ahead for regulatory and legislative policy affecting the financial markets. Register here to join us! https://bit.ly/3yeMHWM

Welcome to the July Update from #SIFMACL! In this monthly newsletter, we highlight what's happening at our events, run down SIFMA's latest comment letters, and share helpful resources. Dive in! 🏊♀️

📣 Discover who's speaking at the #SIFMACL Regional Seminar in Charlotte! Our confirmed speakers: • Felix Abu, Robinhood • Saima Ahmed, SIFMA • Susan Axelrod, BofA • John Ayanian, McGuireWoods • Lisa Bleier, SIFMA • Richard Davis, Maynard Nexsen • Michael Freedman, LPL Financial • Tara Gilchrist, LPL Financial • Marla Moskowitz-Hesse, Wells Fargo • Peter Isajiw, King & Spalding • Nekia Hackworth Jones, SEC • Jennifer Purnell Knox, Wells Fargo • R. Alex McCoy, CFP®, LPL Financial • Lara Shalov Mehraban, Sidley • Edward O'Keefe, Moore & Van Allen • Lani Quarmby, Citi • Tiffany J. Smith, WilmerHale • Kate Ring, Stash Financial • Michael Solomon, FINRA • Zach Stone, Truist • Corin ("Cri") Swift, Sidley • Courtney Devon Taylor, Hogan Lovells • Philip Wertz, BofA • Alex White, BofA • Kory Wilmot, Citi View our program to learn more about program sessions, CLE credits, and networking opportunities: https://lnkd.in/g7a-enu2

The SIFMA C&L Society is dedicated to fostering a diverse and inclusive financial industry, where all are equal. Whether you are a member of the LGBTQ+ community, an advocate, or a valued ally, you are welcome here. In the early hours of June 28, 1969, police raided the Stonewall Inn, a gay club located in New York City’s Greenwich Village. The raid sparked six days of protests and violent clashes that have come to be known as the Stonewall Riots or the Stonewall Uprising. An uprising it was indeed, serving as a catalyst for the gay rights movement. Today, support for the LGBTQ+ community remains urgent. New York City is now incubating The American LGBTQ+ Museum, which seeks to tell the story of LGBTQ+ people, commemorate their journey and inspire pride. We are proud to support their efforts as a Founding Donor and hope you will consider joining us. Learn more here: https://bit.ly/3L48enU #SIFMACL #PrideMonth

Set aside some time to invest in yourself and spend the morning with industry colleagues at the SIFMA Compliance & Legal Society Forum in Dallas: https://lnkd.in/ekFCPtnD   You'll hear insightful discussions, expand your network of industry contacts, and earn CLE credits. Register today and bring a colleague, too!

We're thrilled to welcome Michael Solomon, FINRA for a one-on-one conversation at the 2024 #SIFMACL Regional Seminar in Charlotte! As the head of FINRA’s National Examination Program, Michael oversees a team of approximately 750 examiners and managers who complete more than 1,000 sales practice and financial exams annually. He also leads the Membership Application Program and the Statutory Disqualification Program. Join Michael and compliance and legal colleagues from across the financial industry on Monday, September 23 for a full day of programming and networking opportunities. We can't wait to see you there! https://bit.ly/3XEkpiq

Carve out a few hours to invest in yourself at the #SIFMACL Society Forum in Boston. You'll hear insightful discussions, cultivate your network, and earn CLE credits. Our New York Forum sold out - register today to save your seat - and bring a colleague, too!