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

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 - http://www.finra.org/industry/notices/18-37
    2. SIE Rollout Status
    3. Enhanced Public Records Review – Financial http://www.finra.org/industry/information-notice-051818
    4. SRO Grid on Form U4 - http://www.finra.org/industry/information-notice-092418
  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?