SIFMA Compliance & Legal Society Annual Seminar 2026
by Securities Industry and Financial Markets Association (SIFMA)
The SIFMA Compliance & Legal Society Annual Seminar 2026 is the premier gathering for compliance and legal professionals in the financial services industry. Organized by the Securities Industry and Financial Markets Association (SIFMA), this event has a rich history spanning over 50 years, providing a platform for industry leaders and regulators to collaborate and share insights to ensure fair, transparent, and ethical capital markets.
The seminar will cover a wide array of critical topics, including artificial intelligence, digital assets, regulatory changes, enforcement, and examinations. Attendees can engage in over 70 CLE-eligible sessions featuring expert speakers discussing the latest developments and challenges in the financial services sector.
In addition to the educational sessions, the event offers numerous networking opportunities, including receptions and interactive discussions. Participants can explore the latest services and solutions in the interactive Exhibit Hall and attend Lunch & Learn sessions with leading firms and providers. Notable speakers from top organizations will share their expertise, providing valuable perspectives on current industry trends.
This seminar is ideal for general counsels, senior compliance and legal officers, regulators, consultants, and other professionals in the financial services industry. Attending this event will provide valuable insights, foster meaningful connections, and support professional growth in the ever-evolving compliance and legal landscape.
Speakers(42)
A. Kristina Littman
Partner at Willkie Farr & Gallagher LLP
A. Kristina Littman is a Partner at Willkie Farr & Gallagher LLP, specializing in litigation and enforcement matters.
Amanda Elam
Senior Vice President at LPL Financial
Amanda Elam is a Senior Vice President at LPL Financial, overseeing compliance programs and initiatives.
Amy Purcell
Principal at Vanguard
Amy Purcell is a Principal at Vanguard, focusing on compliance and risk management.
Andrew McElduff
Vice President at FINRA
Andrew McElduff is a Vice President at FINRA, overseeing regulatory operations and compliance programs.
Andrew Olmem
Partner at Mayer Brown LLP
Andrew Olmem is a Partner at Mayer Brown LLP, advising clients on regulatory change management in the financial sector.
Anna T. Pinedo
Partner at Mayer Brown LLP
Anna T. Pinedo is a Partner at Mayer Brown LLP, with expertise in banking products and securities regulation.
Barbara Stettner
Partner at Sidley Austin LLP
Barbara Stettner is a Partner at Sidley Austin LLP, advising clients on securities enforcement and regulatory compliance.
Ben Indek
Partner at Morgan Lewis
Ben Indek is a Partner at Morgan Lewis, focusing on securities enforcement and regulatory matters.
Brian J. Baltz
Partner at Willkie Farr & Gallagher LLP
Brian J. Baltz is a Partner at Willkie Farr & Gallagher LLP, advising clients on asset management and regulatory issues.
Bridget Farrell
Chief Compliance Officer at Edward Jones
Bridget Farrell is the Chief Compliance Officer at Edward Jones, leading the firm's compliance efforts.
Charles A. Sommers
Partner at Sidley Austin LLP
Charles A. Sommers is a Partner at Sidley Austin LLP, with expertise in securities enforcement and regulatory law.
Christina Dugger
Managing Director at JP Morgan
Christina Dugger is a Managing Director at JP Morgan, overseeing compliance and regulatory affairs.
Corin R. Swift
Partner at Sidley Austin LLP
Corin R. Swift is a Partner at Sidley Austin LLP, specializing in securities enforcement and regulatory matters.
Curtis McCubbin
Chief Compliance Officer at DA Davidson
Curtis McCubbin is the Chief Compliance Officer at DA Davidson, ensuring the firm's adherence to regulatory standards.
David Markowitz
Managing Director at Goldman Sachs
David Markowitz is a Managing Director at Goldman Sachs, overseeing compliance and regulatory affairs.
David Meister
Partner at Skadden
David Meister is a Partner at Skadden, specializing in securities enforcement and regulatory matters.
Erin K. Cho
Partner at Mayer Brown LLP
Erin K. Cho is a Partner at Mayer Brown LLP, specializing in compliance and legal challenges in defined contribution retirement plan accounts.
James E. Anderson
Partner at Willkie Farr & Gallagher LLP
James E. Anderson is a Partner at Willkie Farr & Gallagher LLP, with expertise in asset management and regulatory compliance.
Jeffrey P. Taft
Partner at Mayer Brown LLP
Jeffrey P. Taft is a Partner at Mayer Brown LLP, specializing in U.S. prudential regulation and banking law.
Jennifer R. Porter
Partner at Willkie Farr & Gallagher LLP
Jennifer R. Porter is a Partner at Willkie Farr & Gallagher LLP, focusing on asset management and regulatory matters.
Jennifer Tomsen
Shareholder at Greenberg Traurig LLP
Jennifer Tomsen is a Shareholder at Greenberg Traurig LLP, specializing in employment issues within the financial sector.
Jon Cyprys
Shareholder at Greenberg Traurig LLP
Jon Cyprys is a Shareholder at Greenberg Traurig LLP, advising regional and small firms on managing compliance demands with limited resources.
Judge Margaret Ryan
Director, Division of Enforcement at U.S. Securities and Exchange Commission
Judge Margaret Ryan serves as the Director of the Division of Enforcement at the U.S. Securities and Exchange Commission, leading investigations and enforcement actions against securities law violations.
Kenneth E. Bentsen, Jr.
President and CEO at SIFMA
Kenneth E. Bentsen, Jr. is the President and CEO of SIFMA, representing the interests of the securities industry and advocating for effective and resilient capital markets.
Kevin J. Campion
Partner at Sidley Austin LLP
Kevin J. Campion is a Partner at Sidley Austin LLP, specializing in securities enforcement and regulatory matters.
Lauren Munfa
Executive Director at UBS
Lauren Munfa is an Executive Director at UBS, specializing in compliance and regulatory affairs.
Mark Seffinger
Chief Compliance Officer at SoFi
Mark Seffinger is the Chief Compliance Officer at SoFi, leading the firm's compliance programs and initiatives.
Matt Otte
Managing Director at RBC
Matt Otte is a Managing Director at RBC, focusing on compliance and regulatory affairs.
Matthew Comstock
Partner at Willkie Farr & Gallagher LLP
Matthew Comstock is a Partner at Willkie Farr & Gallagher LLP, focusing on asset management and regulatory compliance.
Mei Lin Kwan-Gett
Managing Director at Citi
Mei Lin Kwan-Gett is a Managing Director at Citi, specializing in legal and compliance matters.
Norm Ashkenas
Vice President and Chief Compliance Officer at Robinhood
Norm Ashkenas is the Vice President and Chief Compliance Officer at Robinhood, ensuring the company's adherence to regulatory standards and internal policies.
Paul M. Tyrrell
Partner at Sidley Austin LLP
Paul M. Tyrrell is a Partner at Sidley Austin LLP, focusing on securities enforcement and regulatory issues.
Paul S. Atkins
Chairman at U.S. Securities and Exchange Commission
Paul S. Atkins serves as the Chairman of the U.S. Securities and Exchange Commission, overseeing regulatory policies and enforcement actions to maintain fair and efficient markets.
Rob Patchett
Director at Raymond James
Rob Patchett is a Director at Raymond James, responsible for compliance and regulatory matters.
Robert Cook
President and CEO at FINRA
Robert Cook is the President and CEO of FINRA, leading the organization in regulating brokerage firms and exchange markets to protect investors and ensure market integrity.
Ronald J. Kruszewski
Chairman and Chief Executive Officer at Stifel
Ronald J. Kruszewski is the Chairman and CEO of Stifel, guiding the firm's strategic direction and growth in the financial services industry.
Saima S. Ahmed
Executive Vice President and General Counsel at SIFMA
Saima S. Ahmed is the Executive Vice President and General Counsel at SIFMA, providing legal counsel and overseeing compliance initiatives for the association.
Steffen Hemmerich
Partner at Mayer Brown LLP
Steffen Hemmerich is a Partner at Mayer Brown LLP, focusing on effective supervision of big data in financial services.
Stephanie Avakian
Partner at WilmerHale
Stephanie Avakian is a Partner at WilmerHale, focusing on securities enforcement and regulatory issues.
Suzanne Morgan
Chief Compliance Officer at Wells Fargo
Suzanne Morgan is the Chief Compliance Officer at Wells Fargo, leading the firm's compliance programs and initiatives.
Ted Snyder
Partner at Davis Wright Tremaine
Ted Snyder is a Partner at Davis Wright Tremaine, focusing on securities law and regulatory compliance.
Will Mack
Shareholder and Co-Chair of the Financial Regulatory and Compliance Practice at Greenberg Traurig LLP
Will Mack is a Shareholder and Co-Chair of the Financial Regulatory and Compliance Practice at Greenberg Traurig LLP, focusing on standards of care in financial services.
Event Details
- Date
- March 22-25, 2026
- 4 days
- Location
- 🇺🇸 Orlando, United States
- Grande Lakes Orlando
- Audience
- General counsels, senior compliance and legal officers, regulators, consultants, and other professionals in the financial services industry.
- CLE Credits
- Over 70 CLE-eligible sessions available.
- Attendees
- Approximately 2,000 participants from over 300 organizations.