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

When: Tuesday, February 11, 2020
1:00 PM
United States
Contact: Diana Capes

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SILA Securities Industry Subgroup (SSIS)

2020 – 1st Quarter

Date:    Tuesday, February 11, 2020

Time:     1:00-2:00 pm eastern time

Meeting Agenda

Welcome and introduction of new Co-Chair, Stephanie Rustad, Ameriprise (Sherri Coleman)

1.  FINRA Updates (Bill Swanstrom)

  • Principal Exam Restructure Status
  • CE Transformation
  • Dynamic reporting
  • FinPro
  • BrokerCheck

2.  SILA Foundation Webinar:  FINRA Updates – March 19, 3:00 PM ET

3.  Appropriate use of ‘Adviser’ or ‘Advisor’ pursuant to Reg BI’s Disclosure Obligation (Stephanie Rustad)

4.  2020 Task Groups:

  • NASAA Engagement Task Group (Margie Webber)
  • Branch Registration Management Task Group (Stephanie Rustad)

5.  Open Discussion -

Question from Member:  I work for a BGA and part of my duties includes working with the broker-dealer to register our W-2 employees. Does anyone have a best practice for auditing OBA's? Our broker-dealer to date has not audited OBA's after initial application. I'm looking for some feedback on how to get my arms around this issue. I suspect that we have several employees with undisclosed OBA's who don't realize that this could lead to fines, suspension or worse.

Additional questions?