SILA Securities Industry Subgroup (SSIS)
2018 – 1st Quarter
Date: Tuesday, February 20, 2018
Time: 1:00 pm eastern time
Conference #: 303-248-0285 - Code 3405506#
1. Welcome – Sherri Coleman and Deirdre Patten, Co-Chairs
2. Securities State Requirements Chart Update (Deirdre Patten)
3. FINRA Consolidated Registration Rules (Mario DiTrapani)
a. New SIE Exam and process by Joe McDonald on March 22nd at 3:00 PM ET
b. Exploitation of Seniors webinar led by Lilah Blackstone (recorded January webinar found at www.silafoundation.org)
c. Other ideas for securities webinar topics for 2018?
5. What are securities topics to address at the 2018 SILA National Education Conference?
6. Open Discussion Topics:
- What method do you use to perform the expanded background check search? Are more firms directly accessing a public records data base versus going through a background check provider? If you run your own public records search (Westlaw, etc), how are you providing the FCRA disclosure form?
- How is the Financial Services Affiliate Waiver Program affecting your organization?
- Clarify the COO/CFO role requirement
7. Other topics?