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

5/12/2020
When: Tuesday, May 12, 2020
1:00 PM
Where: Join URL: https://zoom.us/j/94093708574 To call in only: +13126266799 Meeting id: 940 937 08574
United States
Contact: SILA Support
800-428-8329


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SILA Securities Subgroup Meeting

Date: May 12, 2020

Time: 1:00 PM Eastern Time (US and Canada)

Agenda

1.  Welcome (Stephanie Rustad)

2.  COVID-related Policies, Procedures and Controls (Deirdre Patten)

3.  SEC/FINRA – Fingerprint extensions (Tracy Sloan)

4.  Temporary Work locations due to COVID (Margie Webber)

How are firms handling requests from representatives (securities/insurance licensed), who are normally in a registered branch location but now working remotely due to COVID-19, temporarily working from another state to be with family, etc?  Are you:

-        Leaving their addresses with their primary (normal) home/office and adding the additional state where they will be working from temporarily?

-        Updating their U4 addresses with the new temporary address and adding the additional state where they will be working from temporarily?

-        Letting them work from the temporary location without adding the additional state where they will be working from temporarily?

5. Securities Task Group Updates (Stephanie Rustad)

  • NASAA Engagement Task Group
  • Branch Registration Management Task Group  

6. FINRA Updates (Bill Swanstrom)

  • Access to Testing
  • Online Testing through Prometric
  • Test Window Extensions

7. Securities Steering Committee Opening (Stephanie Rustad)

8. SILA Conference Update (Diana Capes)

Other Topics?