The Florida Securities Dealers Association (FSDA) partnered with the SIFMA Compliance & Legal Society to host a Regulatory and Practitioners Panel Breakfast on Friday, May 1st at Raymond James Conference Center, St. Petersburg, Florida. Over 80 securities compliance and legal professionals learned about some of the recent developments affecting the compliance and legal side of the securities industry during the half-day morning seminar. The regulatory panel, which covered issues like examination priorities, investment adviser registration, cybersecurity and elder fraud was moderated by Ira D. Hammerman, Executive Vice President & General Counsel of SIFMA with panelists Pamela D. Epting, Director Division of Securities Florida Office of Financial Regulation and Yvette Panetta, Deputy District Director FINRA. The Practitioner Panel, which covered issues like the revised Florida Arbitration Code, elder issues and “who is a customer” for FINRA arbitrations was moderated by Michael Alford, Senior Vice President & Deputy General Counsel Raymond James Financial, Inc. with panelists Scott C. Ilgenfritz, Partner with Johnson Pope Bokor Ruppel & Burns, LLP, Anna Lyons, Case Administrator Manager FINRA, Frederick S. Schrils, Shareholder GrayRobinson P.A. and Alex J. Sabo, Partner with Bressler, Amery & Ross, P.C.
Back row: Michael Alford (SIFMA) & Louis Dempsey (FSDA President) ; Front row: Regulatory Panel-Yvette Panetta, Pamela Epting & Ira Hammerman
Practitioner Panel: Frederick Schrils, Alex Sabo, Anna Lyon,Scott Ilgenfritz and moderator Michael Alford
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