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ROUNDTABLE NEWS - For the first time ever, SER broadcast a conference session live to the public via Zoom at our Annual Conference in Boston this past September. We are pleased that close to 100 attendees registered for remote access, mainly securities attorneys, while SER members in attendance experienced the live version. A huge thank you is extended to SER member Jeffery Schaff for moderating and to our esteemed panel, Christine Lazaro, Stephen Bouchard, Peter Tepley and James Wrona, for sharing their in-depth knowledge on the current status and future expectations of Reg BI. If you missed it, you can access speaker materials and the recording below.
Access Reg BI Recording Here (Use Passcode FQ+L+!33 to view recording.)
Access Reg BI Speaking Materials Here
View the Full Conference Recap Here
ROUNDTABLE NEWS - Much appreciation to Peter Bulger, Kerry Campbell, Paul Carroll, Jerry DeNigris and Gordon Yale, for donating their time and effort over the years serving on the Board of Directors. Paul Carroll is a Past President from 2021-2022. Gordon Yale is a Past President from 2010-2011, and again from 2018-2019. Directors are also selected to serve as the Chairs of the various Committees that provide the many benefits of SER membership. Thank you for your service!
ROUNDTABLE NEWS - At the Annual Meeting in Boston, members approved the slate of nominees offered by the Nominating Committee and elected the following new Directors: Charles Bennett, Keith Loveland, Lori Raineri, Thomas Taliaferro and Elizabeth Falk, as President-Elect. The President-Elect serves as the Conference Agenda Chair for the following year. Ms. Falk previously served as President in 2020-2021. Directors are typically elected for a term of three years and often serve two consecutive terms. These five Directors join the seven remaining on the Board. SER looks forward to thriving under their leadership!
ROUNDTABLE NEWS- PRESIDENT'S RECAP by Robert Graham
"What a privilege it was for me to be entrusted to preside over the 31st annual conference for the Securities Expert Roundtable (SER) in Boston. This year, we focused on member-to-member engagement and networking, hands-on workshops to enhance member competencies and presentations from impressive talent from the academia, legal and regulatory fields. Our keynote speaker touched on family, patriotism, respect and leadership under stress. With much appreciation, I want to thank all Guest Speakers, Members Speakers and all Attendees who joined us this year!"
MEMBER HIGHLIGHT - SER member Colleen Diles was recently interviewed by Julie DiMauro of Global Relay Intelligence Practice (GRIP). Along with Lisa Crossley, Executive Director of the National Society of Compliance Professionals (NSCP), the women discussed the NSCP’s comment letter on the SEC's proposed rule changes on Safeguarding Customer Assets. The organization assembled a 15 member working group, which also consulted its Regulatory Advisory Committee and its board members, to write a comment letter to "reflect the collective concerns of NSCP’s members." Ms. Diles says the NSCP's greatest concern is the definition of custody, stating, "We need more clarity here, in order to put compliance professionals in a better position to successfully implement certain elements of the proposed rule.” You can read the full article here which includes the Comment Letter as well as the SEC's Proposed Amendments.
MEMBER HIGHLIGHT - SER member Gerry Guild has updated his chart of US Economic Statistics for the years 2021 and 2022 for SER's library. For several years Mr. Guild has provided members this overall summary of statistics that include the dollars of outstanding, issuance and trading volume of the various fixed income markets and the equities market. You can access these charts here (2021 and 2022) or in SER's Library under Notable Cases & Other Investment Related Information.
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