Financial Markets Association

Financial Markets Association

1991 – 2026

After 35 years of service to the financial services community, the Financial Markets Association has formally concluded its operations.

Since 1991, the Financial Markets Association (FMA) has served compliance professionals, financial institutions, regulators, and industry leaders through education, regulatory insight, and professional connection. With the retirement of its sole administrator, Dorcas Pearce, the Association's long and respected chapter comes to a close.
Download Final Newsletter Download "So Long, Farewell"

About the Financial Markets Association

The Financial Markets Association (FMA) was founded to provide timely regulatory updates, professional education, and networking opportunities to compliance professionals, risk managers, internal auditors, attorneys and regulators across the financial services industry.

For over three decades, FMA delivered quarterly regulatory intelligence through its publication Market Solutions and hosted nationally respected programs attended by professionals from broker-dealers, investment advisers, banks, law firms, and regulatory agencies.

Under the leadership of Dorcas Pearce, who managed the Association from 1991 through 2026, FMA operated as a lean and focused organization dedicated to clarity, accuracy, and service to its members.

For inquiries regarding historical materials or legacy matters, please contact:

Dorcas Pearce
Managing Director, 1991–2026
919-494-7479

FMA Legacy Programs

Securities Compliance Seminar

For decades, the spring Compliance Seminar served as FMA's flagship educational event. Held annually, the program brought together compliance officers, legal professionals, risk managers, internal auditors, regulators, and industry leaders to address evolving regulatory priorities, enforcement developments, and emerging risks within financial markets.

The seminar was known for its practical focus and candid discussion of examination trends, SEC and FINRA priorities, banking regulatory developments, and supervisory expectations. Attendees valued the program for its substance, accessibility to regulators and subject-matter experts, and actionable insights.

The Spring Compliance Conference remains one of FMA's most enduring contributions to the compliance community.

Legal and Legislative Issues Conference

The Capital Markets Regulatory Conference provided in-depth analysis of legislative and regulatory developments impacting broker-dealers, banks, and market participants. The program focused on structural market changes, securities regulation, capital requirements, and the evolving role of technology in financial supervision.

Through expert panels and regulator engagement, the conference created a forum for thoughtful examination of policy shifts and their operational implications. It offered professionals a space for dialogue and forward-looking discussion in a rapidly changing financial environment.

Capital Markets Supercourse

Securities Operations Conference

Together, these four programs defined the educational mission of FMA and supported thousands of industry professionals over its 35-year history.

Final Publications

As part of the Association's formal conclusion, the final issue of Market Solutions and a Legacy Letter reflecting on the history of FMA are available for download below.

These documents serve as the closing chapter of the Financial Markets Association's contributions to the financial services industry.

Download Final Issue of Market Solutions (March 2026) Download "So Long, Farewell"

A Chapter Concluded

The Financial Markets Association concludes its work with gratitude to the compliance professionals, risk managers, internal auditors, regulators, speakers, and industry participants who supported its mission over the past three and a half decades.

FMA's programs and publications will remain part of its professional legacy, and its impact will continue through the professionals it served.

1991 – 2026