SIFMA C&L Society

In the latest edition of the #SIFMACL Update, before we break for turkey and pie, we answer some of your top-of-mind questions. ???Read on to discover the latest event announcements, and get a run-down of recent filings, news, and resources from SIFMA. From our team to yours, happy Thanksgiving!?? ?? ??

We just posted 70+ breakout sessions for the 2025 #SIFMACL Annual Seminar! Plan your personal agenda with eight dedicated tracks: https://bit.ly/4evxHCW What sets our breakouts apart? ??60-Minute Sessions: Find out what you need to know in one hour – expert insights, without the filler. ??Repeated Sessions: Select sessions are repeated throughout the Seminar - hit all your top choices, no tradeoffs. ??CLE Eligible: Our program will be eligible for CLE credits in multiple states. Choose the CLE add-on when registering and easily manage your attendance onsite with our mobile app. Early bird rates are available through January 24 and our hotel block opens in December. Register today!

Hello, Dallas! It was a great turn out at our very first #SIFMACL Forum in the Lone Star State, where 150+ industry professionals gathered for insightful discussions, networking opportunities, and CLE credits. https://bit.ly/3AJ7H94 For those that joined us, please check your inbox for a quick survey about your experience. We'd love to hear from you ?? Thank you to all of our speakers for sharing their time and expertise: ?Chad Nichols, Charles Schwab ?Shamoil Shipchandler, Charles Schwab ?Sarah Mallett, Kirkland & Ellis ?David Peavler, Jones Day ?David Woodcock, Gibson Dunn ?Calum Ramm, Federal Bureau of Investigation (FBI) ?Jeffrey Tricoli, Charles Schwab ?Travis Iles, Securities Commissioner, TEXAS STATE SECURITIES BOARD ?Eric Werner, Regional Director, Forth Worth Regional Office, U.S. Securities and Exchange Commission ?Ronak Patel, Bressler, Amery & Ross, P.C. ?Scott Kursman, IntelligentCross

In the latest #SIFMACL Update, we round up the latest filings, resources, and event updates. A final reminder - nominations for the 2025 DE&I Advocate Award are due on Friday, October 25!

It was a packed room at the #SIFMACL Regional Seminar in NYC! ??? A huge thank you to everyone who attended; it was wonderful to see you. Be sure to check your inbox for a survey about your experience. We're coming to Dallas on November 7 ?? Register today to save your seat - we hope to see you there! https://bit.ly/4fbscdr

The SIFMA C&L Annual Seminar is heading to Austin! Gather with the financial industry’s leading compliance and legal professionals at the JW Marriott from March 23–26, 2025. We can't wait to see you there. https://lnkd.in/eWjMzqX7 #SIFMACL

?The #SIFMACL Regional Seminar in New York City is shaping up to be a power-packed day! Meet your speakers: - William St. Louis, FINRA - Saima Ahmed, SIFMA - Marshall Miller, Principal Associate Deputy Attorney General, U.S. Department of Justice - Preet Bharara, WilmerHale - Akinyemi Akiwowo, Morgan Stanley - Phil Arnold, Goldman Sachs - Stephen Cohen, Sidley Austin LLP - Rosalynn Hsu Cormier, The Vanguard Group, Inc. - Christina Dugger, JP Morgan Chase & Co. - Avi Gesser, Debevoise & Plimpton - Mudit Gupta, CPA, CGMA - Ariel Gursky, Morgan Lewis - Imran Javaid - Mark Keene, Wells Fargo - Crystal Lalime, Barclays - Elaine Mandelbaum, Interactive Brokers - Jennifer Morton, A&O Shearman - Osman Nawaz, U.S. Securities and Exchange Commission (SEC) - Anne Marie Palfrey, Deutsche Bank - Sofia R., Citi - Racquel Russell, FINRA - Joaquin Sena, Bank of America - Robert Toomey, SIFMA - Carmine A. Venezia, BNY View the full program to learn more about sessions, networking opportunities, and more: https://bit.ly/3Y30Jnk Limited seats remain! Save yours today.

The SIFMA C&L Annual Seminar is heading to Austin! Gather with the financial industry’s leading compliance and legal professionals at the JW Marriott from March 23–26, 2025. We can't wait to see you there. https://lnkd.in/eWjMzqX7 #SIFMACL

Inside our latest #SIFMACL Update is an interview with Andrew Stemmer, Global General Counsel of Litigation & Regulatory Management for Deutsche Bank and Chairperson for our 2025 Annual Seminar. Read on to find out what he has planned and why he's excited to bring the industry's most influential meeting to Austin ??. Registration opens soon!

Thanks to everyone who joined us at the #SIFMACL Regional Seminar in Charlotte! It was wonderful to see so many colleagues and meet some new ones, too. Please check your inboxes for a survey about your experience. Our planning committees read every piece of feedback you give and use it to plan our next events. We're coming to New York City on October 16 and to Dallas on November 7. Save your seat here! https://bit.ly/3zralzT