2017 SIFMA Compliance & Legal Society Annual Seminar

March 19, 2017 to March 22, 2017

The SIFMA Compliance and Legal Society's Annual Seminar is the premier event for Financial Services compliance and legal professionals.

Private Client Firms: Key Legal and Regulatory Issues
Tuesday, March 21, 2017 | 10:20 AM–11:35 AM
Timothy Burke, Partner

Investment Adviser Considerations for Retail
Tuesday, March 21, 2017 | 10:20 AM–11:35 AM
Steven Stone, Partner

View the presentation >> | View the supplement >>

Fixed Income Sales and Trading
Tuesday, March 21, 2017 | 11:55 AM–1:10 PM
Elizabeth Baird, Partner

Ask FINRA: A Panel of Senior FINRA Officials Respond to Your Questions
Wednesday, March 22, 2017 | 9:15 AM–10:30 AM
Ben Indek, Partner

Ask the Experts: General Q&A on the DOL
Wednesday, March 22, 2017 | 10:45 AM–12:00 PM
Daniel Kleinman, Partner

CLE credit: Please see event website for detailed CLE credit information.