Name: C&L Regional Seminar: Southeast
Start: 2026-10-05T08:00:00-04:00
End: 2026-10-05T17:30:00-04:00
Location: The Ritz-Carlton

Tuesday, September 9, 2025 | 7:45 a.m. – 5:15 p.m. ET

Monday, October 5, 2026 | 8:00 a.m. – 5:30 p.m. ET

The Ritz-Carlton | Charlotte, NC

Register

discover the latest industry developments and trends in charlotte

SIFMA's Compliance & Legal Society gathered in Charlotte on Monday, September 23, 2024. It was wonderful to see so many colleagues and meet some new ones, too.

C&L Regional Seminars gather compliance and legal professionals working in the financial services industry to share best practices, informative content and focused networking opportunities in the increasingly complex and changing regulatory and compliance arenas.

Where the Compliance &

Legal Community Connects

Join SIFMA’s Compliance & Legal Society in Charlotte for the C&L Regional Seminar: Southeast.

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.

Featured Speakers

Nekia Hackworth Jones

Deputy Director, Enforcement Southeast, Division of Enforcement, U.S. Securities and Exchange Commission (SEC)

Mark Luschini

Chief Investment Strategist, President and Chief Investment Officer, Janney Capital Management

FEATURED SPEAKERS

Michael Solomon

EVP of Examinations and Membership Application Program

FINRA

Nekia Hackworth-Jones

Atlanta Regional Director, U.S. Securities and Exchange Commission (SEC)

FEATURED SPEAKERS

First Name Last Name

Title

Organization

First Name Last Name

Title

Organization

Program

This year's Regional Seminar will gather industry professionals for one-on-one conversations with regulatory leaders, networking opportunities, and panel discussions on:

| Key Regulatory Developments and Their Enforcement Implications

| Bank Regulatory and Supervisory Issues Facing Industry Participants

| How to Interact and Communicate with C-Suite Executives

| Best Practices for Supervision/Monitoring/Testing Programs

| What's New in Litigation and Arbitration

| Risks and Opportunities in Artificial Intelligence

| And more

View Program

Program

This year's program, will gather industry professionals for exclusive one-on-one conversations, networking opportunities, and panel discussions on:

| Securities Enforcement and Regulatory Developments

| Bank Regulation

| Crypto

| Artificial Intelligence

| Litigation and Arbitration

| And more

View Program

What You'll Learn

The C&L Regional Seminar: Southeast 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 Southeast region.

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.

2025 Program

CLE Credits

Our in-person program is eligible for CLE credits in North Carolina, South Carolina, 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

We are seeking CLE credits in North Carolina, South Carolina, 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.