Reg BI became effective over three years ago, but did it make a difference? To what extent is Reg BI fundamentally different than the suitability standard that it replaced, and how much change did the securities industry need to make in order to comply with it? Join our first time public broadcast (via Zoom) of an SER Annual Conference session to hear leading authorities and regulators discuss their views as to how well, and to what extent the brokerage industry has implemented Reg BI and share their expectations for future developments. Moderated by SER member and Past President Jeffery Schaff, this session is geared toward securities attorneys, experts and compliance professionals. Register today!

MEET OUR DISTINGUISHED PANEL

STEPHEN BOUCHARD, ESQ.

Associate Commissioner for Securities, District of Columbia Dept of Insurance, Securities and Banking, NASAA’s Broker-Dealer Section Committee Chair

CHRISTINE LAZARO, ESQ.

Prof of Clinical Legal Education

Director of the Securities Arbitration Clinic St. John's University

MODORATED BY: JEFFERY SCHAFF

Expert Witness, Ardor Fiduciary

SER member & Past President

PETER J. TEPLEY, ESQ.

Partner at Rumberger Kirk, co-chair the Arbitration Panel subcommittee of the ABA Securities Litigation Section

JAMES S. WRONA, ESQ.

Vice President and Associate General Counsel at Financial Industry Regulatory Authority (FINRA)

Advance registration is required.

Please register by September 21st.

Once registered, you will receive a confirmation email containing information about joining the broadcast. 

(IF YOU DO NOT RECEIVE A CONFIRMATION, PLEASE CHECK YOUR SPAM FOLDER.) 

For your convenience, reminder email will be sent one hour before the webcast.

Securities Experts Roundtable is the largest member organization of Experts specializing in securities related dispute resolution. Established in 1993, and incorporated in 2005 as an non-profit 501c(6), SER provides continuing professional education and promotes ethics and integrity among its members while remaining dispute neutral as an organization.

Sponsors of SER's 2023 Conference

(September 22-23, Boston MA)

Platinum Sponsors

Gold Sponsors

Silver Sponsors

Sponsorships still available. For more information, contact Patricia Koetting.

Disclaimer: The information in this program is not legal, accounting or other professional advice. All such information is for educational and general informational purposes only. The views expressed in this program are those of the individual presenters in their individual capacities only and are not necessarily the views of their respective employers or SER. All content in this program is provided “as is” and may not constitute the most up-to-date information and may not be free from errors. SER expressly disclaims any and all liability with respect to actions taken or not taken based on the content of this program.