Virtual

PIABA Annual Meeting Virtual Registrant Guide

Session Recordings
The following Sessions will be recorded for replay by Members fully registered to attend the PIABA Annual Meeting –

1. SL01 Case Law Roundup
2. SL 02 State Issues and Initiatives in Reg BI World
3. SL 03 Exploring Obligations – and Regulatory Challenges – of Online Broker-Dealers and Trading Platforms
4. SL 04 Multi-Jurisdictional Practice and the Zoom ADR Hearing (Ethics)
5. SL 05 Expungements: Give Them to Us
6. P1 Review of FINRA DR Activities and Developments in 2021
7. P2 How to Prepare and Present Claims for Serious (or Severe) Emotional Distress Damages
8. P3 Clarity on Clearing Firm Liability
9. P4 The Whole Picture: Maximizing Damages in Securities Cases
10. BO1 Ethics and Defamation: The Pitfalls of Communicating with Potential Clients through Blogs and Direct Solicitations (Closed)
11. BO2 How to Bring RIA Cases
12. BO3 Ethics of Succession
13. P5 Jeopardy Ethics
14. P6 Broker Dealer Obligations with Regard to Dually Registered Brokers' RIA Services
15. BO7 Discovery in RIA Arbitration Cases
16. BO8 How to Save Your Case from Dismissal - Motions to Dismiss Based on Eligibility (Rules 12504 and 12206) and Statutes of Limitation (Closed)