Name: C&L Society Forum: Dallas
Start: 2025-11-06T08:00:00-05:00
End: 2025-11-06T12:00:00-05:00
Location: Schwab Center

C&L society forum

dallas

November 7, 2024 | Schwab Center

C&L society forum

dallas

November 6, 2025 | Charles Schwab

Register Now

C&L society forum

Dallas

November 6, 2025 | Charles Schwab

thanks for joining us in dallas!

The SIFMA Compliance & Legal Society's inaugural Dallas Forum was a resounding success. 150+ industry professionals gathered for insightful discussions, networking opportunities, and CLE credits.

Thanks to all our speakers and attendees for sharing their time and insights. To learn more about the Society and discover what's next on our event calendar, visit www.sifma.org/cl.

thanks for joining us in dallas!

The SIFMA Compliance & Legal Society's inaugural Dallas Forum was a resounding success. 150+ industry professionals gathered for insightful discussions, networking opportunities, and CLE credits.

Thanks to all our speakers and attendees for sharing their time and insights. To learn more about the Society and discover what's next on our event calendar, visit www.sifma.org/cl.

spend the afternoon with sifma C&l in dallas!

Hear insightful discussions, cultivate your network of industry contacts, and earn CLE credits with the SIFMA Compliance & Legal Society. Check back soon for speaker updates and our full program.

Please register promptly to reserve your seat as space is limited. You are encouraged to invite a colleague to join you and learn more about the C&L Society.

Make sure to also check out our Forums in New York and Boston!

Start Your Day with SIFMA's C&L Society in Dallas!

Expand your network, gain timely insights on key legal and compliance issues, and earn CLE credits at this half-day program hosted by SIFMA's C&L Society.

Space is limited, so we encourage you to register early. Invite a colleague to come along and learn more about the C&L Society.

“

”

The discussions were authentic and I enjoyed the knowledge shared by all presenters.

— 2024 Dallas Forum Participant

FEATURED SPEAKERS

Cristi Ramon Ochoa

Texas State Securities Board

Katie Brown

Wells Fargo

Taylor Etzell

FINRA

Natasha Guinan

EY

Sarah Hammer

Charles Schwab

Bridget Hogan

JPMorgan

Ryan Lester

Goldman Sachs

Melissa MacGregor

SIFMA

Andrea Truelove

Robinhood

“

”

The discussions were authentic and I enjoyed the knowledge shared by all presenters.

— 2024 Dallas Forum Participant

PROGRAM

All times are in CT.

8:00 a.m. - 11:35 a.m.

Registration Hours

8:00 a.m. - 9:00 a.m.

Networking Breakfast

9:00 a.m. - 9:05 a.m.

Opening Remarks

Speaker:

Chad Nichols, Charles Schwab

9:05 a.m. - 9:35 a.m.

Balancing Innovation and Investor Protection in the Digital Era: The Regulators’ Perspective

Speaker:

Cristi Ramon Ochoa, Texas State Securities Board

Moderator:

Melissa MacGregor, SIFMA

9:35 a.m. - 10:35 a.m.

Panel Discussion: Digital Asset Regulatory Roadmap

• Types of investments available in crypto and custody of assets
• Firm vs. advisor appetite
• Crypto competition and investors choice
• Future of cryptocurrency regulation
• Stable coin legislation
• Strategic Bitcoin Reserve
• U.S. Digital Asset Stockpile,
• Plans for US Sovereign Wealth Fund
• SEC crypto task force
• Crypto ETFs

Panelists:

Taylor Etzell, FINRA

Sarah Hammer, Charles Schwab

Andrea Truelove, Robinhood

Moderator:

Natasha Guinan, EY

10:35 a.m. - 11:00 a.m.

Networking Break

11:00 a.m. - 11:40 a.m.

Panel Discussion: What’s Going on in Washington?

• Role of the current administration in rule making.
• Opportunities for rule changes or modernization.
• Changes in themes from previous administrations.
• Changes between federal and state level.

Panelists:

Bridget Hogan, JP Morgan
Katie Brown, Wells Fargo

Moderator:

Ryan Lester, Goldman Sachs

11:40 a.m. - 11:45 a.m.

Closing Remarks

Speaker:

KC Waldron, Empower

PROGRAM

All times are in CT and subject to change.

8:00 a.m. - 11:40 a.m.

Registration Hours

8:00 a.m. - 9:00 a.m.

Networking Breakfast

9:00 a.m. - 9:05 a.m.

Opening Remarks

Speaker:

Chad Nichols, Charles Schwab

9:05 a.m. - 10:05 a.m.

A Conversation with Former SEC Regional Directors

Moderator:

Shamoil Shipchandler, Charles Schwab

Speakers:

Sarah Mallett, Kirkland & Ellis
David Peavler, Jones Day
David Woodcock, Gibson Dunn

10:05 a.m. - 10:25 a.m.

Networking Break

10:25 a.m. - 10:55 a.m.

Cybersecurity Update from the FBI

In a one-on-one conversation, Special Agent Calum Ramm, a member of the FBI Dallas Division and Criminal Cyber Squad, will discuss insights from the agency’s criminal cyber investigations domestically and abroad.

Speaker:

Calum Ramm, FBI

Moderator:

Jeffrey Tricoli, Charles Schwab

10:55 a.m. - 11:35 a.m.

A Conversation with the Texas Securities Commissioner and the Director of the SEC's Fort Worth Regional Office

Speakers:

Travis Iles, Securities Commissioner, Texas State Securities Board

Eric Werner, Regional Director, Forth Worth Regional Office, U.S. Securities and Exchange Commission

Moderator:

Ronak Patel, Bressler

11:35 a.m. - 11:40 a.m.

Closing Remarks

Speaker:

Scott Kursman, IntelligentCross

CLE Credits

This Forum is eligible for CLE credit in Texas and New York.

SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. Participants seeking credit will receive CLE certificates within 60 days of the conclusion of the event. Registration fee reduction may be available for qualified registrants; please view our hardship policy to learn more.

CLE Credits

This Forum is eligible for CLE credit in Texas and New York.

SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. Participants seeking credit will receive CLE certificates within 60 days of the conclusion of the event. Registration fee reduction may be available for qualified registrants; please view our hardship policy to learn more.

“

”

Beautiful venue and great networking opportunity!

— 2024 Dallas Forum Participant

“

”

Beautiful venue and great networking opportunity!

— 2024 Dallas Forum Participant

WHY ATTEND

Professionals of all levels can access insightful conversations with financial services leaders, valuable professional development opportunities, and timely and topical discussions.

Expert Insights

Hear from senior compliance and legal professionals on how we can move forward into the new year with the tools necessary to make remote work both productive and valuable to employers and employees.

Candid Discussions

Gain insight into the strategies, challenges and opportunities for advancing your career and achieving success.

Breakout Sessions

Participants will connect with leaders and peers in small, interactive group discussions.

Networking Opportunity

Engage in candid conversations with peers and colleagues. Participants will have the opportunity to reconvene as the full group to network.

"I appreciated hearing what peer firms are doing and how they are thinking of the future. I liked we share best practices, challenges and ideas. Overall thought a very good event!"

— SIFMA Women's Leadership Forum 2020 Participant

Program

Coming soon! Stay tuned for our 2022 program announcement.

The 2016 Mobile Ad Summit will take place in the Penthouse suite of The Georgia Center Hotel, which is conveniently located in the heart of Atlanta. Sign in at the registration desk and head up to the top floor.

WoMEN'S LEAdership Forum kicks off in...

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For sponsorship inquiries, please contact Scott Kramer at 212.313.1119.

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REGISTer

SIFMA Member Rate

$75

Non-Member Rate

$99

Regulator Rate

$75

Register Now

Add to Calendar

SIFMA membership is firm-wide! All employees of a member firm are eligible for Member Rates. View our Member Directory to see if you qualify. Interested in membership? Learn more about the benefits of being a SIFMA member.

Group discounts are available for SIFMA Members. Register more than 8 colleagues and each additional registration will be just $50. Please reach out to clsociety@sifma.org to register your group for this special offer.

REGISTer

SIFMA Member Rate

$75

Non-Member Rate

$150

Regulator Rate

$60

Register Now

Add to Calendar

SIFMA membership is firm-wide! All employees of a member firm are eligible for Member Rates. View our Member Directory to see if you qualify. Interested in membership? Learn more about the benefits of being a SIFMA member.

USEFUL INFORMATION

Registration Questions

Please contact the SIFMA C&L Society.

Media Inquiries

This Seminar is closed to members of the media. All comments are off the record and not intended for distribution in any manner.

Code of Conduct

Inappropriate behavior at SIFMA events is not tolerated. View our Code of Conduct and anonymous incident report form.

Cancelations

Cancelations received by October 15 will receive a refund minus a $25 processing fee. Substitutions are welcome. Please contact the SIFMA C&L Society.

Accessibility

It is a priority to make our events inclusive and accessible for all. For questions or requests, please contact the SIFMA C&L Society.

Health & Safety

We closely follow guidelines from the CDC as well as state and local officials.

USEFUL INFORMATION

Registration Questions

Please contact the SIFMA C&L Society.

Media Inquiries

This Seminar is closed to members of the media. All comments are off the record and not intended for distribution in any manner.

Code of Conduct

Inappropriate behavior at SIFMA events is not tolerated. View our Code of Conduct and anonymous incident report form.

Cancelations

Cancelations received by October 23 will receive a refund minus a $25 processing fee. Substitutions are welcome. Please contact the SIFMA C&L Society.

Accessibility

It is a priority to make our events inclusive and accessible for all. For questions or requests, please contact the SIFMA C&L Society.

Health & Safety

We closely follow guidelines from the CDC as well as state and local officials.

USEFUL INFORMATION

Registration Questions

Please contact SIFMA's C&L Society. Pre-registration is required and closes at 11:00 a.m. ET on Wednesday, January 19.

Access Instructions

Webinar access instructions will be sent from SIFMA's C&L Society.

Accessibility

It is a priority to make our events inclusive and accessible for all. For questions or requests, please contact SIFMA Conferences.

Media Inquiries

Please contact Emily Reinus to register and for SIFMA's press policy.

Technical Requirements

For detailed information, including technical requirements and FAQs, view our Webinar Tips.

Code of Conduct

Inappropriate behavior at SIFMA events is not tolerated. View our Code of Conduct and anonymous incident report form.

Registration Cancellation Policy

- All cancellations will be subject to a $25 cancellation fee.
- No refunds will be granted for requests received after January 5, 2022. Refunds will not be given for no-shows.