Lazaro Presents at the PIABA Annual Conference and is Appointed to the FINRA Investor Issues Committee

At the end of October, during the PIABA Annual Meeting, Professor Christine Lazaro completed her term as president of PIABA.

Christine Lazaro

Professor Lazaro also presented on two panels at the conference.  On the first, “Broker-Dealer Standards of Conduct,” Professor Lazaro discussed the SEC’s recently adopted Regulation Best Interest and its impact on broker standards of conduct. She also wrote an article for the panel entitled, “An Overview of the Regulation Best Interest Rule Package.”  On the second panel, “Business Development Companies and Product Cases,” Professor Lazaro described the regulation of business development companies and common claims that may be made by investors who have been put into these products.  She also submitted an article for this panel, “Business Development Companies – The Basics.”  Finally, Professor Lazaro moderated the panel, “Review of FINRA DR Activities and Developments in 2019,” which included FINRA Executive Vice President and Director of Dispute Resolution Richard Berry.

Professor Lazaro has also been appointed to the FINRA Investor Issues Advisory Committee.

FINRA describes the committee as follows:

The Investor Issues Committee is composed of subject matter experts, including academics, consumer advocates, former securities regulators, institutional investors and individuals affiliated with non-broker-dealer asset management firms. The committee advises FINRA staff on matters that significantly affect individual and institutional investors, including proposed rulemaking, policy initiatives and other issues, and to help inform FINRA’s economic analysis from the perspective of investors. In addition, the committee routinely reviews rule proposals and regulatory initiatives before they are brought before the FINRA Board.

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