Session Description

Description
SL 01 Case Law Roundup
Scott Eichhorn, Regina Gilmour
Date/Time: 
10/26/2021 - 12:00pm to 10/26/2021 - 12:30pm
Room: 
Virtual

Discussion of selected cases in 2021 involving arbitration, securities law, and related issues commonly found in securities arbitration practice.

SL 02 State Issues and Initiatives in Reg BI World
Joseph Borg, William Jacobson, Clint Edgar, Marni Gibson, Andrea Seidt
Date/Time: 
10/26/2021 - 12:40pm to 10/26/2021 - 1:55pm
Room: 
Virtual

The effect of reg BI on audits and exams. Are changes to state laws and regulations needed and/or contemplated? Is coordination with FINRA and SEC in process and is it working?

SL 03 Exploring Obligations – and Regulatory Challenges – of Online Broker-Dealers and Trading Platforms
Christine Lazaro, Teresa Verges, Marni Gibson, Robert Colby
Date/Time: 
10/26/2021 - 2:05pm to 10/26/2021 - 3:20pm
Room: 
Virtual

The online discount brokerage market has exploded over the past few years, with trading platforms and Apps for mobile devices incentivizing millions of retail investors with low cost or “commission

SL 04 Multi-Jurisdictional Practice and the Zoom ADR Hearing (Ethics)
Nicole Iannarone
Date/Time: 
10/26/2021 - 3:30pm to 10/26/2021 - 4:30pm
Room: 
Virtual

Assume a Florida-licensed lawyer represents an investor who is temporarily residing in her North Carolina vacation home during the pandemic.

SL 05 Expungements: Give Them to Us
Benjamin Edwards, Lisa Braganca
Date/Time: 
10/26/2021 - 4:40pm to 10/26/2021 - 5:40pm
Room: 
Virtual

This panel will discuss the latest developments with the expungement process. The panelists will discuss recent rule changes for expungements and the policy concerns surrounding the process.