C&L Society Minneapolis Breakfast 2019 | SIFMA | 16 October 2019 | Ameriprise Financial - Client Service Center, 901 3rd Ave S, Minneapolis, MN 55402, USA

SIFMA is the voice of the nation’s securities industry, bringing together the shared interests of hundreds of broker-dealers, investment banks and asset managers. We advocate for effective and resilient capital markets.
SIFMA is the leading trade association for broker-dealers, investment banks and asset managers operating in the U.S. and global capital markets. On behalf of our industry’s nearly 1 million employees, we advocate on legislation, regulation and business policy, affecting retail and institutional investors, equity and fixed income markets and related products and services. We serve as an industry coordinating body to promote fair and orderly markets, informed regulatory compliance, and efficient market operations and resiliency. We also provide a forum for industry policy and professional development.

2019 Speakers

Joe Fleming
Chief Compliance Officer, Ameriprise Financial, Inc.

Troy A. Paredes
Founder, Paredes Strategies LLC

Ira D. Hammerman
Executive Vice President & General Counsel, SIFMA

Steve Kelley
Commissioner, Minnesota Department of Commerce

Jennifer Luginbill
Associate District Director, FINRA

Shamoil T. Shipchandler
Partner, Jones Day

Theresa Seys
Vice President and Chief Counsel, Ameriprise Financial, Inc.

Sandra Smalley-Fleming
Shareholder, Fredrikson & Byron, P.A.

Lee Thoresen
Senior Counsel, Head of Regulatory and Transactional, RBC Wealth Management