Securities Industry Symposium 2020

November 2020

Please join us for a new virtual edition of the annual Securities Industry Symposium, offering education on trends and hot topics for professionals in the securities industry, including an interview with FINRA President and CEO Robert Cook. In lieu of our traditional afternoon event, this year’s symposium will take place as a series of live video discussions over three weeks in November. Each session will be approximately one hour.  Participants may register for one, two or all three events. Speakers for each session are listed below.

The Securities Industry Symposium is co-sponsored by Greensfelder, Hemker & Gale, P.C. and the Bar Association of Metropolitan St. Louis.

Please register in advance; click the dates below for each session:
Thursday, November 5
Thursday, November 12
Thursday, November 19

After registering, you will receive a confirmation email with information about joining the webinar.

CLE credit pending

Questions?
Contact Alison Craghead at 314-345-4762 or acraghead@greensfelder.com


AGENDA

1 p.m. Thursday, November 5

Panel presentation featuring: 

  • Doug Jacoby - Securities Division, Director of Enforcement, Office of the Secretary of State for the State of Missouri
  • Seema Chawla - FINRA Senior Counsel, Department of Enforcement
  • David Benson - Senior Counsel, Division of Enforcement, U.S. Securities and Exchange Commission

1 p.m. Thursday, November 12

Interview with Robert Cook - President and CEO of the Financial Industry Regulatory Authority

1 p.m. Thursday, November 19

Panel presentation featuring:

  • Amanda Demas - Senior Counsel with BMO Financial Group
  • Julia Rhue - Vice President, Supervision - Fiduciary Services with Raymond James Financial, Inc.
  • Suhman Das - Assistant General Counsel & Vice President - Bank of America Merrill Lynch

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