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.
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:
The 2026 program is currently under development. In the meantime, explore the 2025 program for an example of the topics covered and check back for updates.
Our in-person program will seek CLE credits in 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.
Hotel room reservations are available for Seminar attendees through one of our hotel partners. Rooms are subject to availability and offered on a first-come, first-served basis.
Please contact the SIFMA C&L Society. Please remember that pre-registration is required to participate.
Inappropriate behavior at SIFMA events is not tolerated. View our Code of Conduct and anonymous incident report form.
Any cancelations received by September 2 will receive a refund minus a $100 processing fee. Substitions are welcome. Please contact the SIFMA C&L Society.
It is a priority to make our events inclusive and accessible for all. For questions or requests, please contact the SIFMA C&L Society.
SIFMA C&L Regional Seminars offer an excellent opportunity to engage with leaders of the compliance & legal profession in the financial services industry.
For sponsorship inquiries, please view our sponsor prospectus and contact Scott Kramer at 212.313.1119.
SIFMA’s Compliance & Legal Society is the leading forum for compliance and legal professionals working in the financial services industry. With a rich 50-year history, it provides a unique opportunity for industry leaders and regulators to come together to share information and collaborate with the goal of ensuring our capital markets are the most fair, transparent and ethical in the world.
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