MEMBER HIGHLIGHT - SER Members Bruce Foerster and Charles Bennett, together with Jeffrey Posner, are authors of the Capital Markets Handbook, published by Wolters Kluwer. The Handbook is a primer on the mechanics and conduct of the entire underwritten public offering process. Bruce conceived the Handbook in 1999 and it has been in publication ever since, the first 10 years of which, under the auspices of the Securities Industry Association (n/k/a SIFMA). The 2024 Supplement to the Seventh Edition was released January 2, 2024. The Handbook is available online from Wolters Kluwer.
MEMBER HIGHLIGHT - Alan J. Besnoff, CFP, ChFC, CLU was a Speaker and Panelist on the topic of: “CFP Standards; Case Implications When Respondent is a CFP Professional” at the October, 2023 PIABA Annual Meeting and Securities Law Seminar. Mr. Besnoff addressed what distinguishes CFP Professionals from other Financial Advisors, the CFP Board’s Code of Ethics and Standards of Conduct, and explained what duties are defined by the CFP Board Standards, and when those duties are required. Mr. Besnoff also described the process by which the CFP Board enforces its Code and Standards, and explained how allegations of misconduct (violations of the Code of Ethics and Standards) are heard by Hearing Panels consisting of Commissioners who serve on the Disciplinary and Ethics Commission. Alan Besnoff is currently serving as Commissioner, Disciplinary and Ethics Commission, Certified Financial Planner (CFP) Board of Standards.
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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!"
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