Newsroom

MEMBER HIGHLIGHT - SER Members Jesy LeBlanc and Kat Miller are hosting a free virtual event on August 13th at 12:00 CST on fixed income trade reporting. As co-founders of TRADEliance, Jesy and Kat have observed a FINRA enforcement trend in fixed income trade reporting issues. Since the beginning of 2024, the number of enforcement actions brought by FINRA against industry firms exceeds almost any other enforcement topic with more actions continuing to be released. Jesy and Kat will discuss these enforcement trends from both the operational and compliance perspectives, as well as sharing best practices and educational considerations for industry participants. TRADElinace is a consulting firm providing services to Broker Dealer and Investment Adviser firms regarding trading operations and compliance matters. Their series, "Bullet Point Panels", are free virtual panels for broker dealers and investment advisors on industry hot topics or trends. The sessions are intended to be brief summaries of topics selected from recent enforcement actions or other relevant industry releases. Click here to register for this free event.

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 this page and press the button that will appear here.