Newsroom


SER Board Member Takes on Additional Board Role at MRFC
March 15, 2019

MEMBER HIGHLIGHT - SER Director and Member Bob Lawson has been asked to join the Credential Board of the Master Registered Financial Consultant (MRFC) Certification Program. Bob has been a long-time member of the International Association of Registered Financial Consultants (IARFC), a non-profit organization of financial consultants, according to a Press Release on the subject, and completed the MRFC Certification Program last year. In this new capacity, he will participate in the oversight of the MRFC Certification Program. The MRFC designation is a credential of the IARFC and the MRFC program operates independently of the IARFC. The IARFC has received accreditation of its MRFC program by demonstrating compliance with Accreditation Standards of the National Commission for Certifying Agencies. Kudos to Bob!


 
Some States Moving on the Fiduciary Front, Claiming Vacuum of Progress at the SEC
March 15, 2019

OUTSIDE NEWS - When the DOL Fiduciary Rule was knocked out by the federal courts and DOL turned the lead over to the SEC on development of uniform fiduciary standards for broker-dealers and investment advisers, the SEC followed with its much-critiqued Regulation Best Interests. The differences in fiduciary duties among trust departments, RIAs and broker-dealers constitutes an area of great interest to many SER members.Media reports indicate that the states are taking matters into their own hands and adopting legislation and rulemaking that establishes fiduciary standards or related disclosures and they're aiming mainly at the broker-dealer community. A helpful summary of developments along this line appears in a recent article by journalist Susan Antilla. We link to the March 12 article here, more for factual background than for its slant on the issues.  The article's title is "States Begin to Crack Down on Broker Abuse as the SEC Dithers." 


 
ABA DR Section Spring Conference Set For April In Minneapolis
March 7, 2019

OUTSIDE NEWS - The ABA’s Section of Dispute Resolution will be conducting its Spring conference April 10 - 13 at the Hyatt Regency in Minneapolis. Titled “Shining the Light on the Parties in Dispute Resolution,” the event brochure reveals a rich program with over 70 concurrent programs. Diamond sponsors are the American Arbitration Association; JAMS; NAM (National Arbitration and Mediation); and Thomson Reuters. CLE is available from several states.  (ed: Registration ranges from $165 - $775, and may be done online.) 


 
Two-Day Program in Clearwater, Florida Offers Practical Suggestions for Succeeding as Expert Witnesses
March 7, 2019

EXPERT WITNESS TRAINING - SEAK, Inc, which bills itself as "The Expert Witness Training Company," will be holding its 28th Annual National Expert Witness Conference on April 27-28, 2019 at the Opal Sands Resort in Clearwater, FL. SEAK's program are geared to experts from all disciplines and with all experience levels. The sessions, in brief, are aimed at exposing attendees to a variety of skills and marketing sessions, including, in schedule order, "A View from the Bench," "How Expert Witnesses can Deliver More Effective and Persuasive Testimony," "How Attorneys Go About Selecting and Preparing Expert Witnesses," "How Lawyers Attacks Expert Witnesses," "How to Destroy Your Expert Witness Career,","Clear, Concise, and Compelling Testimony at Trial," "How Expert Witnesses Can Excel at Direct Examination," "Practice Management for Expert Witnesses," 'Women Expert Witnesses: How to Overcome Gender Barriers," "How to Excel at Expert Witness Report Writing," -- and that's just the first day. The Conference will have both general and breakout sessions, and the registration fee covers meals and networking receptions. To learn more, view the costs and register, click here and hop to SEAK's Website.


 
SIFMA Division Holding Annual Event in Phoenix
March 7, 2019

OUTSIDE NEWS - The Compliance and Legal Society of the Securities Industry Financial Markets Association will be gathering from March 24-27, 2019 for its 2019 Annual Seminar at the JW Marriott Phoenix Desert Ridge in Pnoenix, AZ. SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry and draw attendance of a couple thousand people. For 50 years, the Society has convened industry leaders and regulators for information sharing, collaboration and networking. For further information and to register for this event, call 212-313-1000, or click here. Regis Fee: Early Bird: Members: $995.00 (Industry); $1,700.00 (Special) and Non-Members: $2,000.00.


 
SER Member In NJ Clinic Confab with SEC Commissioner
February 21, 2019

MEMBER HIGHLIGHT - SER member George Friedman participated in a small group discussion on February 7 at the Seton Hall University School of Law in Newark, hosted by the School’s Investor Advocacy Project. The evening roundtable featured SEC Commissioner Robert L. Jackson, Jr. and was moderated by Clinic Director, Prof. David Michael White. The event was attended by SEC staff, clinic clients and students, representatives from the New Jersey Attorney Generals’ office, and county consumer affairs staff. The wide-ranging discussion touched on many subjects, including the important role played by the law school securities arbitration clinics. Commissioner Jackson observed that some clinics had closed in recent years and said he would be discussing with the FINRA Foundation the need to consider going beyond start-up money for the clinics. Professor White observed that George had visited with clinic students over the years, explaining the workings of the FINRA forum, and “was a true friend of the clinic.”


 


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