SIFMA sponsors Quarterly Conferences. Conferences feature leading experts with working knowledge of the theory as well as the practical application of each issue. In an afternoon, a member can attend a Quarterly Conference to learn about insurance industry issues such as cybersecurity, accounting, or tax reform as well as the global, federal and, state regulation … Continue reading SIFMA – Quarterly Conference
NSCP Interactive Compliance Labs provides an in-person setting designed with real life application through hands-on learning activities. Attendees will learn from knowledgeable facilitators, engage in small group discussions, and share their thoughts and experiences through the use of case studies, group questions and hypothetical scenarios applicable to each session’s topic.
NSCP Interactive Compliance Labs provides an in-person setting designed with real life application through hands-on learning activities. Attendees will learn from knowledgeable facilitators, engage in small group discussions, and share their thoughts and experiences through the use of case studies, group questions and hypothetical scenarios applicable to each session’s topic.
The Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. The conference offers a broad range of topics including regulatory compliance, risk management, crypto asset developments, trends and threats in financial crimes and the evolution of branch office inspections, among others.
SIFMA sponsors Quarterly Conferences. Conferences feature leading experts with working knowledge of the theory as well as the practical application of each issue. In an afternoon, a member can attend a Quarterly Conference to learn about insurance industry issues such as cybersecurity, accounting, or tax reform as well as the global, federal and, state regulation … Continue reading SIFMA – Quarterly Conference
The C&L Annual Seminar is hosted by SIFMA’s Compliance & Legal Society; our program is designed by a dedicated and passionate group of executives that volunteer for our Executive and Planning Committees. Past participants have had a front-row seat to hear Madeline Albright discuss negotiating tactics and diplomacy, SEC Chair Jay Clayton outline priorities for … Continue reading SIFMA – Annual Conference
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules
The NSCP National Conference provides a setting for Investment Advisers, Private Funds and Broker-Dealer industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the SEC, DOL & FINRA regulators
The Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. The conference offers a broad range of topics including regulatory compliance, risk management, crypto asset developments, trends and threats in financial crimes and the evolution of branch office inspections, among others.
The Small Firm Conference focuses on small firms’ practices and tips for complying with FINRA rules.
SIFMA's 2025 Annual Meeting will take place from Monday, October 20 to Tuesday, October 21 at the Conrad Washington DC. This event gathers the most influential voices shaping the capital markets from a cross-section of public policy and finance to explore the issues and opportunities that matter most for the markets, the industry, and the economy. … Continue reading SIFMA – Annual Meeting
The NSCP National Conference provides a setting for Investment Advisers, Private Funds and Broker-Dealer industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the SEC, DOL & FINRA regulators.
The Securities and Insurance Licensing Association (“SILA”) National Education Conference is a yearly event that provides education and networking opportunities for professionals in the insurance and securities licensing industries. The conference features industry speakers, interactive sessions, and an exhibitor fair.
A one-day, hybrid event that will focus on today’s cybersecurity challenges, understand vulnerabilities and latest threats and create resilience against cyber-attacks.
Co-hosted by the SEC, MSRB and FINRA, this year’s program provides practical and tailored discussions addressing top concerns and interests among municipal securities dealers and municipal advisors, including conflicts of interest, broker-dealer primary offering and pricing practices, compliance concerns, and other key municipal market topics.