SILA Securities Subgroup Meeting
Date: May 12, 2020
Time: 1:00 PM Eastern Time (US and Canada)
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)