Senior Investor Protection Seminar

Preparing for New FINRA Senior Investor Protection Rules

A Deep Dive into Rules 2165 and 4512


September 13, 2017


New York, NY or Webinar


With the February implementation deadline fast approaching, join SIFMA for a Senior Investor Protection Seminar to take a deep dive into FINRA rules 2165 and 4512. Industry experts and regulators will gather to review these new rules, which will provide firms with a safe harbor for temporarily holding suspect disbursements and requires firms to attempt to collect trusted contact information from all their clients. During this half-day program, participants will have the opportunity to analyze the new rules and discuss the various implementation strategies of firms of all sizes and business models. Participate in-person or via webinar.


1:00pm – 1:30pm

Registration & Welcome Refreshments

1:30pm – 1:40pm


Ira D. Hammerman


Ira D. Hammerman

Executive Vice President & General Counsel


Ira D. Hammerman’s Biography

1:40pm – 2:55pm


Kyle R. Innes, Amanda Demas, Sarah Razaq Sallis, Melissa Hegger Shea, James S. Wrona


Kyle R. Innes

Assistant Vice President, State Government Relations and Assistant General Counsel



Amanda Demas

Senior Counsel, Legal, Corporate & Compliance Group

BMO Financial Group

Sarah Razaq Sallis


Eversheds Sutherland (US) LLP

Melissa Hegger Shea

Vice President and Associate General Counsel, Legal

Fidelity Investments

James S. Wrona

Vice President and Associate General Counsel


2:55pm – 3:15pm

Networking Break

3:15pm – 4:30pm


Lisa J. Bleier, Cara Aber, James Muir, Jeanette Wingler


Lisa J. Bleier

Managing Director and Associate General Counsel



Cara Aber

Executive Director and Assistant General Counsel

JPMorgan Chase & Co.

James Muir

Executive Director, Investments Compliance


Jeanette Wingler

Assistant General Counsel, Office of General Counsel


4:30pm – 5:30pm


Marin E. Gibson, Keith E. Grindstaff, Thomas M. Mierswa, Jr., Shawn Scholz, Mary Shea Tucker


Marin E. Gibson

Managing Director and Associate General Counsel



Keith E. Grindstaff

Director, Legal Counsel

Charles Schwab & Co., Inc.

Thomas M. Mierswa, Jr.

Executive Director of the Branch Advisory Group, Legal & Compliance

Morgan Stanley

Shawn Scholz

Vice President of Compliance, General Counsel's Office

Ameriprise Financial Services, Inc.

Mary Shea Tucker

Manager, Elder Client Initiatives, Compliance Department

Wells Fargo & Company

5:30pm – 6:30pm


SIFMA Conference Center

120 Broadway
Floor 2
New York, NY 10271

View on Google Maps

Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.

With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.

Picture of venue

Hotel Accommodations

If you require hotel accommodation, a special SIFMA rate is available at the following:

Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY  10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852

Club Quarters
52 William Street, New York, NY 10005, Phone# 212-269-6400

Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900


CLE Credit

SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. Parts of this program will be available for CLE credits. Fee reduction may be available for qualified registrants. SIFMA will offer CLE credits for the following states:

  • California
  • Colorado
  • Florida
  • Missouri
  • New Jersey
  • New York
  • North Carolina
  • South Carolina
  • Texas

It is the responsibility of the registrant to comply with all rules and regulations governing the jurisdictions in which the attendee is seeking credit. Panel attendance must be certified by each registrant seeking CLE credits. Attendees do not need to certify after each panel. CLE Credit cannot be certified after the Seminar adjourns.

CLE Credit


Media Inquiries
Contact Liz Pierce at 212.313.1173.

Media Registration
Contact Emily Reinus at 212.313.1339.

View SIFMA’s official press policy.

Media Partnerships
Custom media partnership opportunities are available for almost every objective and budget, with benefits including complimentary event passes. Contact Monica Ilyevsky at 212.313.1263.

Terms and Conditions

SIFMA reserves the right to remove, bar, or expel any attendee or guest from the conference for disruptive, disrespectful, or possibly illegal conduct, statements, or actions or for any reason which may tarnish the conference, SIFMA, or its members, in SIFMA’s sole discretion. SIFMA shall not refund any money paid for such attendee or guest to attend the conference, or for any travel expenses incurred to attend the conference.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

Conference registration substitutions are welcome. Email Lizzie Grimm at [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.