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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.
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