Newsroom

«Return to Main Blog Page
SER's Next Webcast Addresses Regulation BI
July 26, 2020

ROUNDTABLE NEWS - SER will be hosting their next webcast, "What Regulation B Does, and What it Doesn't", on July 29th. The broadcast will explore the primary features of Reg BI and how the new standards depart from previous requirements. Although Reg BI imposes new responsibilities on brokers, the webcast will explore the substantial differences that remain between the duties of brokers and those advisers subject to stringent fiduciary obligations. Hollie Mason, a new SER member and former senior enforcement counsel with FINRA and Richard Leisner, a longtime SER member and securities attorney will lead the panel, which will be moderated by Gordon Yale.  This will be SER's third webcast since making the difficult decision to cancel their in-person conference for the first time in 28 years. The Board moved quickly to establish a webcast committee to keep members engaged and has been very pleased with the productions and member attendance. 


 


SER Members serve parties engaged in securities disputes. SER is a party-neutral organization. Items published in this Newsroom that express an opinion or a party bias are not reflective of SER's policy positions or its views as an organization. Items published in the Newsroom on this Website may also be published on SER's LinkedIn Page.

Members: To submit a news item to the Newsroom, first log in, then return to "Newsroom" and press the grey button that will appear here.