Sep-Dec 2020 - No. 2020-03 |
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Please feel free to forward this email to friends or clients. Some of the content to which we link may be copyrighted, but SER members should feel free to share this newsletter. Non-members can subscribe at the bottom and receive future tri-annual issues directly! You can also link to this issue on SER's webpage.
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RECENT NEWS FROM THE ARBITRATION FRONT
(ed: This column follows recent items of interest to securities experts and relating to arbitration practice. These items are drawn from recent editions of the Securities Arbitration Alert and appear here with the permission of the Alert’s publisher. This issue’s column is compiled by the SAA’s publisher and Editor-in-Chief, George H. Friedman.)
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EXPERT OPINIONS: WHAT ARE THE COURTS (AND ARBITRATORS) THINKING?
(ed: By reading how courts and arbitrators value, view and utilize testifying experts or decide issues experts encounter on a regular basis, one can better serve the fact-finder, more effectively help the client, and more likely avoid a bad experience. For selected court decisions, we draw again from the Securities Arbitration Alert (SAA), and other resources.)
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HEARD THROUGH THE REGULATORY GRAPEVINE, COMMENT LETTERS, & SPEECHES
Jerry DeNigris (jdenigris@riversidefinancial.com)
(ed: Keeping abreast of rulemaking and other regulatory initiatives can be a full-time job. Bringing it all together into a single column designed for quick scanning with drill-down linkage for further details has great value, in our view, for the busy expert. We include selected writings or speeches that influential leaders and major institutions in the securities world are talking, writing and worrying about. We invite SER members to point us to rulemaking, legislation, regulatory notices and policy speeches that are creating "buzz" in the securities community.)
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Highlights from various regulators follow including COVID-19 updates. Please note this compilation is a summary of regulatory actions and comments and is not meant to be an all-inclusive substitute for individual research via the various regulatory sites. READ MORE
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SER ACTIVITIES - WHAT'S CIRCLING AT THE ROUNDTABLE?
(ed: SER’s Committee’s are composed of 2 Board Member, and most have 1 or more members at large. Our Committees and members are listed under the “About Us” button on our Home Page. Committees either support the business needs of our organization or aim to develop and enhance the skills and expertise of our members. We even have a Committee to provide a public service to law schools, called the SER Legal Clinic Committee.) READ MORE
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MEMBER ACHIEVEMENTS - BRINGING CREDIT TO THE PROFESSION
(ed: Dispite the affects of the COVID-19, members have continued to be engaged, as shown in the items below. Your contributions to this column are welcome, please send me your announcement of any achievements for inclusion. Whether it’s writing an article, hosting an event, joining a professional committee, or just pursuing a smart practice, we report on those efforts here. Look to the “Newsroom” section of the SER Website for more frequent, timely reports on the activities of our members.) READ MORE
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MEET OUR NEWEST MEMBERS! In this section, we highlight our newest members. SER's ranks grew by 15 in 2020 are currently stands at 95 members. To access their full bio, please click on the photo. READ MORE
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STATISTICS, EVENTS & RESOURCES
(ed: This column seeks to apprise members of events, products and services that can be useful to them in their professional activities, including and especially the SER Website. Unless specifically stated, SER does not endorse or sponsor any of the products and services mentioned herein.)
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ANTI-MONEY LAUNDERING & FINANCIAL CRIMES CONFERENCE
Feb 22 - Feb 23, 2021
"During SIFMA’s two-day Anti-Money Laundering & Financial Crimes Conference, learn about regulatory and examination priorities for 2021 and lessons learned from enforcement; participate in interactive financial crime case studies; and hear industry perspectives on the latest developments in the AML and financial crime space, including regulatory reform efforts, fraud trends and operational challenges related to COVID-19, human trafficking typologies, and sanctions developments."
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2021 FINRA ANNUAL CONFERENCE
May 18 - May 20, 2021
"FINRA's premier event — This year we are bringing the conference to you. The 2021 FINRA Annual Conference will be held entirely online. This virtual conference provides the opportunity for practitioners, peers and regulators to exchange ideas on timely compliance and regulatory topics. Nowhere else will you find this unique combination of the highest-caliber speakers discussing issues that matter most for the financial services industry. "
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Stay Tuned for more information on upcoming SER webcasts and this year's Annual Conference!
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Media Stats
Website:
2020 Monthly Average - Unique Visitors 1,268
2020 Monthly Average - Total Visits 2,195
Sep - Unique Visitors 1,150; Total Visits 2,117
Oct - Unique Visitors 1,143; Total Visits 1,935
Nov - Unique Visitors 997; Total Visits 1,818
Dec - Unique Visitors 1,211; Total Visits 2,209
LinkedIn: Our followers are currently up to 718, five times where they were at the end of 219! Make sure to follow us!
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MEMBER ONLY BENEFITS!
Log in to access Member Only benefits including:
- Updating your Searchable Profile
- Email Membership
- Accessing Previous Webcasts
- Accessing Previous Mentorship Q&A or Submitting a New Question
- Check Dues & Conference payment status
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Final Note: The Contributors are members of the SER Public Relations Committee. They have designed this newsletter for the membership and worked to gather material for this issue. Members can help by sending Contributors information and suggestions for content in future issues. Members should also visit SER's "Newsroom" section of the Website periodically, as many of the items that appear here will be first posted in the Newsroom.
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Copyright 2021 Securities Experts Roundtable - publication appears three times a year and is available as a membership benefit to experts of the Securities Experts Roundtable. Comments - suggestions welcome. Email Newsroom@securitiesexperts.org with comments.
Mission Statement: SER provides continuing professional education and promotes ethics and integrity among its members while remaining dispute neutral as an organization.
Disclaimer: This publication is designed to provide accurate and authoritative information in regard to the subject matter covered. The publisher is not engaged in rendering legal, accounting or other professional service or advice. If legal advice or other expert assistance is required, the services of a competent professional person should be sought.
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Securities Experts Roundtable | www.securitiesexpert.org |
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