Archive for February 22nd, 2021

February 22, 2021

Lazaro Presents, Moderates, and Authors

On February 17th, Professor Christine Lazaro presented to the Oregon Bar Association Securities Regulation Section on the SEC’s Regulation Best Interest, along with Hasan Ibrahim, Chief Legal Officer at Prudential Advisors. They provided the Section with an overview of the regulation and discussed how it is being implemented by brokerage firms as well as the role of the regulators in the early stages of the regulation’s implementation. 

In January 2021, Professor Lazaro presented at the AALS Annual Meeting’s Section on Employee Benefits and Executive Compensation panel, “Working in a New World – Employee and Worker Benefits Re-examined in a Time of Crisis.” Professor Lazaro discussed a working paper that examines the regulation of IRAs, specifically when handled by securities brokers. 

Between September 2020 and January 2021, Professor Lazaro moderated a four-part webinar series for the Public Investors Advocate Bar Association (PIABA) on the Fundamentals of FINRA Arbitration. The program covered all aspects of the FINRA arbitration process, from vetting cases to the arbitration hearing. 

In October 2020, Professor Lazaro moderated a panel at PIABA’s Annual Meeting entitled, “Life under Regulation Best Interest.” The panel examined the implementation of Regulation Best Interest. Professor Lazaro authored the article An Overview of the Regulation Best Interest Rule Package for the program materials. The article was also published in the PIABA Bar Journal. Additionally, Professor Lazaro’s students, Cameron Michelson and Theodore Ryan, co-authored the article Regulation Best Interest: FINRA and SEC Guidance, which was also included in the program materials.   

Christine Lazaro
Professor of Clinical Legal Education
Director, Securities Arbitration Clinic
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