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SILA Securities Subgroup Meeting
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SILA Securities Subgroup Meeting

11/12/2019
When: Tuesday, November 12, 2019
1:00 PM
Where: United States

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SILA Securities Industry Subgroup (SSIS) - 4th Quarter 2019

Date:   Tuesday, November 12, 2019

Time:   1:00-2:00 pm eastern time

 

Meeting Agenda

Welcome! (Deirdre Patten, Sherri Coleman, Co-Chairs)

1.      CE Transformation (Patricia Monterosso)

2.      FINRA Regulatory Notice 19-35 - Renewals for 2020 (Jeff Weinstein)

3.      NASAA (Margie Webber & Natasha Hurt)

  • NASAA Engagement Task Force
  • NASAA 2020 Fee Announcement
  • Wisconsin IAR Branch Renewal Reminder

4.      Form CRS - FINRA Update (Jeff Weinstein)

5.      FINRA CRD/DXT Updates (Bill Swanstrom)

6.      2020 Task Groups: (Stephanie Rustad)

  • NASAA Engagement Task Group
  • Branch Registration Management Task Group

7.       Open Discussion (attendee participation)

 

 

Register for the entire series of Securities Subgroup meetings for 2019.

Link to registration is here: https://zoom.us/meeting/register/3d2b2dfd0ae604c8c5b9141539e44ee6