Securities Industry Symposium 2023
We look forward to seeing you for the annual Securities Industry Symposium, an afternoon of highly informative discussions and networking opportunities with other securities professionals. The symposium is co-hosted by the Bar Association of Metropolitan St. Louis and Greensfelder.
Agenda:
Wednesday, November 15, 2023
- 12:30 p.m.: Registration
- 1:00 to 5:00 p.m.: Program
- 5:00 to 6:30 p.m.: Reception
Location: Donald Danforth Plant Science Center
975 North Warson Road, St. Louis, MO 63132
The symposium is accredited for 3.8 MO CLE hours.
Below is our current list of interviews and speakers:
Welcome and Opening Remarks
- Judge Kendra Howard – President, Bar Association of Metropolitan St. Louis
Compliance Roundtable featuring:
- Moderator: Jesy LeBlanc – Founder/Managing Partner, TRADEliance
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Steven Farmer – Confluence, Chief Compliance Officer
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Jason Habermeyer – Associate General Counsel, Edward Jones
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Kelly Zigaitis – Brokerage Chief Compliance Officer, Robinhood
Interview with James Nix
Acting Director of the Illinois Securities Department
- Interviewer: A. Valerie Mirko – Partner and Co-Leader, Securities Regulation and Litigation, Armstrong Teasdale
Examining Artificial Intelligence featuring:
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Speakers: Patrick Cox – Expert Witness and Compliance Consultant, Bates Group
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George Rosenthal – President, ThrottleNet
Interview with Michael Solomon
Senior VP Examination FINRA
- Interviewer: James Ferrick – Officer, Greensfelder, Hemker & Gale, P.C.