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Colby Comments at SIFMA Compliance & Legal Society Conference Draw Blog Reactions
March 28, 2019

OUTSIDE NEWS - The C&L Society held its 2019 Annual Conference on March 24-27 and many SER members were in attendance — their numbers lost, of course, among the massive roster of over 1,900 attendees. Not much in the way of press coverage comes out of the Conference sessions, so we looked to the Blog posts for some reactions from the meetings. This one, written by Alan Wolper, Partner-in-Charge of the Ulmer law firm’s Chicago Office and Co-Chair of its Financial Services & Securities Litigation section, appeared on both the Ulmer Website and Mr. Wolper’s BD Law Corner Blog. It focuses on a SIFMA-CL Conference session in which FINRA’s Chief Legal Officer, Robert Colby, participated and remarks of his that evidently rattled many of those present. In commenting on these remarks, Mr. Wolper targets what he sees as a recurrent theme at FINRA: “... an increasingly visible effort by FINRA to turn its regulatory eye from rogue brokers – who have been an irritant to FINRA and NASD for decades – to rogue firms (my term, not FINRA’s).” His article is particularly interesting, as it’s enhanced by accompanying video from the panel discussion containing Mr. Colby's remarks.


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