Securities Industry Symposium 2019
Thank you for joining the Bar Association of Metropolitan St. Louis and Greensfelder, Hemker & Gale, P.C. at the 2019 Securities Industry Symposium, an afternoon of collaboration with colleagues and networking opportunities with other securities professionals.
This year’s 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.
The symposium was accredited for 4.3 MO CLE hours, including 1.0 ethics/professional responsibility hours. If you need a copy of our CLE certification, contact Alison Craghead at 314-345-4762 or email@example.com.
For information on past symposiums, click here.