For more than 50 years, the SIFMA Compliance & Legal Annual Seminar has been the preeminent gathering place for in-house counsel, outside counsel, regulators, and law enforcement to stay ahead of market trends.

Sessions are now available to watch on demand, including one-on-one conversations with SEC Chair Paul Atkins, FINRA President and CEO Robert Cook, SEC Commissioner Hester Peirce, Featured Keynote, Stifel CEO and SIFMA Chair-Elect Ron Kruszewski, and more.

SEC Chair Paul Atkins detailed his strategic priorities, focusing on modernization and regulatory clarity. Atkins' ACT framework seeks to advance tailored regulations, clarify SEC-CFTC oversight, and streamline outdated rules. Atkins also proposed an 'innovation exemption' for new products, emphasized electronic delivery of disclosures, and called for practical enforcement reforms to align with industry efforts.

SEC Chair Paul Atkins said the agency expects to advance a long-anticipated rule to modernize electronic delivery of investor disclosures, reflecting how investors increasingly access information. Atkins indicated updated rules on e-delivery and communications are a priority as the SEC works to align its framework with current market practices. Industry participants have said modernizing e-delivery could enhance access, efficiency and security, noting that most investors now communicate with their financial professionals electronically.

SEC Chair Paul Atkins has indicated that the agency intends to relax restrictions on political contributions from investment advisers. Atkins criticized the current rules as potentially misleading for advisers, suggesting that revisions are necessary to prevent unintended consequences.

Crypto was born anti-establishment. Now regulators are catching up—and fast. Firms that can't monitor employee crypto trading, NFTs and new tokens risk losing access to key markets. See how technology gives you a better handle on digital asset risk before it becomes a business inhibitor, not just a regulatory headache.

To bolster cybersecurity measures, FINRA President and CEO Robert Cook announced the upcoming rollout of a clearinghouse designed for firms to report cyber threats. This platform will encourage information sharing, aiming to enhance security across the financial sector.

At the SIFMA Compliance and Legal Seminar, SEC Commissioner Hester Peirce discussed the Commission's dynamics, digital assets, AI, and enforcement priorities. Peirce emphasized the need for regulatory clarity in digital assets, criticizing past enforcement actions and advocating for a more rational approach. Peirce also highlighted the potential of AI to enhance regulation and industry operations, while stressing the importance of compliance for both new and established market entrants. Peirce also discussed the development of an 'innovation exemption' framework for tokenized securities and the need to revisit recordkeeping rules.

Ronald J. Kruszewski, Chairman and CEO of Stifel and Chair of SIFMA's Board of Directors, delivers a keynote at the 2026 SIFMA C&L Annual Seminar, examining the current macro environment, market dynamics, and valuation trends. From geopolitical pressures and shifting monetary policy to long-term market cycles, Kruszewski underscores a central theme: while technology evolves, human behavior - and the patterns it creates in markets - remains constant.

During the 2026 C&L Annual Seminar, SIFMA General Counsel Saima Ahmed discussed the imperative of modernizing regulatory practices to keep pace with technological changes. Ahmed focused on three main areas: updating records retention policies, enhancing the SEC's waiver process, and reforming e-delivery systems. These changes aim to provide clarity, improve efficiency, and ensure investor protection in a rapidly evolving financial landscape.