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Greensfelder's Annual Securities Symposium

The annual Securities Industry Symposium is offered in conjunction with the Bar Association of Metropolitan St. Louis (BAMSL). The symposium is widely recognized as one of the premier events in the St. Louis securities community, a community that now rivals the long-considered financial hub of New York City. The symposium offers highly informative discussions attracting compliance professionals, attorneys and regulators from around the region. The event has boasted guest speakers from FINRA, the Department of Labor, the SEC, and numerous other agencies and companies across the industry. 

2019 Securities Industry Symposium

Our 2019 symposium included interviews of Lara Thyagarajan, FINRA Senior VP and Counsel to the Head of Enforcement, and Joel Levin, Director of the SEC’s Regional Office in Chicago, as well as panels on cybersecurity, legal ethical issues involved with broker transitions, and current issues for financial service companies.

Previous Symposiums

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