Staying Ahead of the Curve: Hot Topics and Future Trends in 2022

Sandy Grannum again has the privilege of chairing PLI’s Securities Arbitration Program. This year it features FINRA dispute resolution leadership and arbitrators, as well as noted academics and experienced attorneys who represent both customers and industry. The ethical challenges involved as clients and brokers age, and diversity and inclusion and the elimination of bias in the forum will be explored, as well as the latest hot topics and future trends in securities arbitration. CLE credits are available.

Sandy will also be moderating the session on “Staying Ahead of the Curve: Hot Topics and Future Trends in 2022.” This panel includes Richard W. Berry, director of the Office of Dispute Resolution and executive VP at FINRA; Elissa Germaine, director of the Fairbridge Investor Rights Clinic at the Elisabeth Haub School of Law at Pace University; and Matthew Morningstar, executive vice president in Compliance, Legal & Risk at LPL Financial. They will discuss:

• RIA: The New Frontier — Consortium letters to regulators
• Self-Directed Platform and the Gamification of Trade — Where to from here?
• Expungement — What is new and what is trending in special panels and court actions?
• Zoom Task Force — Best practices and future applications
• Complex Products — Alternative investments and the return of option trading
• Reg BI — The new standard of care: Have we settled into it?
• Investor Justice Act — What is it? Why does it matter? Where is it going?