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The Compliance and Legal Division of the Securities Industry and Financial Markets Association, through the efforts of its members, has worked to foster an effective self-regulatory system for the securities industry for over forty years.
Through educational programs, communication and advocacy, the Division works to preserve and enhance the reputation of the industry and prepare its members for market changes and new trends. EVENT UPDATES:
DECEMBER MONTHLY LUNCHEON
Tuesday, December 16th, 2008
Registration not yet available.
SIFMA-CL 2008 NEWS & NOTES RELEASED September 29th, 2008
We are pleased to release the C&L Division's News and Notes highlighting the spectacular 2008 Annual Conference. Please click here to view. SEC COMPLIANCE ALERT
Released July 22, 2008
The SEC released a new compliance alert letter identifying common deficiencies and weaknesses that SEC examiners have recently found during examinations of SEC registered firms. Click here for the full content.
Treasury Department:
BLUEPRINT FOR A MODERNIZED FINANCIAL REGULATORY STRUCTURE Released MARCH 31, 2008
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