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SILA Securities Industry Subgroup (SSIS) Meeting
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SILA Securities Industry Subgroup (SSIS) Meeting

 Export to Your Calendar 11/13/2018
When: Tuesday, November 13, 2018
1:00 - 2:00 PM
Where: United States

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SILA Securities Industry Subgroup (SSIS)

2018 – 4th Quarter


Date:                    Tuesday, November 13, 2018

Time:                    1:00-2:00 pm eastern time

Conference #:      303-248-0285 - Code 3405506#

SSIS Steering Committee

                              Sherri Coleman, Co-Chair, Nationwide

                              Deirdre Patten, Co-Chair, Patten Training & Review

                              Jane Michael, Bank of America

                              Mario DiTrapani, FINRA

                              Tracy Sloan, Waddell & Reed

                              Margie Webber, RegEd


Meeting Agenda

  1. Welcome (Deirdre Patten)
  2. FINRA Update (Mario DiTrapani)
    1. Renewal Reminder -
    2. SIE Rollout Status
    3. Enhanced Public Records Review – Financial
    4. SRO Grid on Form U4 -
  3. NASAA Engagement Task Force (Margie Webber)
  4. Securities Topic Ideas for Foundation Webinars (Deirdre Patten)
  5. Open Steering Committee Slot Available (Sherri Coleman)
  6. Open Forum Topics?

Thank you to our 2018 Sponsors!