Ticket Price
$360.00 - $960.00
Securities Industry and Financial Markets Association (SIFMA)
View AgencySIFMA is the voice of the nation’s securities industry, bringing together the shared interests of hundreds of broker-dealers, investment banks, and asset managers. We advocate for effective and resilient capital markets.
Message OrganiserC&L Regional Seminar: Northeast
Wednesday, September 16, 2026
Seminar
New York
New York Law School, West Broadway, New York, New York, USA
Event Overview
Where the Compliance & Legal community connects
Join SIFMA’s Compliance & Legal Society in New York City for the C&L Regional Seminar: Northeast.
This one-day program brings together compliance and legal professionals from across the capital markets to discuss regulatory developments, share practical perspectives, and connect with peers facing similar challenges across broker-dealers, asset managers, and wealth management firms.
What you'll learn
The C&L Regional Seminar: Northeast brings together compliance and legal professionals from across the capital markets for a focused, in-person exchange on the regulatory and supervisory issues shaping the industry today.
Designed for professionals at broker-dealers, asset managers, and wealth management firms, the seminar offers timely insight and practical guidance that is relevant across experience levels—from those building expertise to those leading programs and teams.
Participants will:
Gain perspective on current and emerging regulatory and compliance priorities affecting capital markets firms.
Benchmark policies, controls, and compliance frameworks across firms and business models.
Learn practical approaches to supervision, governance, and risk management that can be applied in day-to-day roles.
Connect with peers and leaders from the compliance and legal community across the Northeast region.
