Securities Industry Symposium 2021

November 2021

Please join us for a virtual edition of the annual Securities Industry Symposium, offering education on trends and hot topics for professionals in the industry, including an interview with Daniel R. Gregus, Co-Acting Regional Director for the SEC’s Chicago Regional Office and William St. Louis, FINRA Senior VP for Member Supervision.


This year's symposium will take place as a three-part live video series in November. Each session will be approximately one hour. Participants may register for one or all events.

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:
Wednesday, November 3
Wednesday, November 10
Wednesday, November 17

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

MO CLE credit available

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


AGENDA

1 p.m. Wednesday, November 3

Panel presentation featuring: 

  • James C. Browning, Jr. - Vice President & Deputy General Counsel, Stifel
  • Robert G. Brunton -Associate General Counsel, Team Leader – Regulatory, Edward Jones
  • Gwendolyn M. Taylor -Senior Vice President and Senior Counsel, Benjamin F. Edwards
  • Moderator: Molly R. Batsch -Officer, Greensfelder, Hemker & Gale, P.C.

1 p.m. Wednesday, November 10

Interview with Daniel R. Gregus - President and CEO of the Financial Industry Regulatory Authority.

Interviewer: Patrick Cotter - Officer, Greensfelder, Hemker & Gale, P.C.

1 p.m. Wednesday, November 17

Interview with William St. Louis - FINRA Senior Vice President and Firm Group Leader, Member Supervision

Interviewer: Don McBride -- Officer, Greensfelder, Hemker & Gale, P.C.

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