FSDA Outreach Program

In place of the in-person event on October 8, 2020, the FSDA will launch the first of three live streamed events. The FSDA Industry Outreach Program series kicks off on October 8, 2020, at 9:00 AM with the keynote speaker who will be taking on the hot topics — market trends, resiliency and the effect… READ MORE

FSDA Outreach Virtual Conferences

In place of the in-person event on October 8, 2020, the FSDA will launch the first of three live streamed events. The FSDA Industry Outreach Program series kicks off on October 8, 2020, at 9:00 AM with the keynote speaker who will be taking on the hot topics — market trends, resiliency and the effect… READ MORE

Increases Expected in Pandemic-Related Securities Litigation

Recent webinars and articles have centered around the issues the securities industry will confront as a result of the pandemic and market turmoil.  We have compiled relevant information from those sources and added our own observations based on our previous experience. Based on past market downturns, firms can expect a wave of litigation stemming from… READ MORE

FMA – 2020 Securities Compliance Seminar

 Oyster Director Nikki Brinkerhoff will be speaking at the FMA 2020 Securities Compliance Seminar, April 29-May 1, 2020.  This seminar focuses on current compliance topics, new rules or interpretations and regulatory initiatives for financial institutions and their affiliated broker dealers. Panel discussions are led by key market participants, and program discussions and workshops are structured… READ MORE

Securities Experts Roundtable – Annual Conference

Oyster’s Chief Legal Counsel Patrick M. Dennis will be attending the Securities Experts Roundtable (SER) in Minneapolis, MN.   SER provides continuing professional education and promotes ethics and integrity among its members while remaining dispute neutral as an organization. Patrick M. Dennis has been involved in the securities industry for over 30 years, most recently as… READ MORE

SEC Exam Priorities – Regulatory Focus in 2019

  The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released its 2019 Examination Priorities on December 20, 2018. While most of the topics are familiar, there are a few new items of note. OCIE has divided its priorities into four categories:     Retail Investors, Including Seniors and Those Saving for Retirement OCIE will… READ MORE

FINRA Streamlines Representative Qualification Exams

FINRA is restructuring its Representative level qualification exams (e.g., Series 7 and 79) to eliminate the redundancies that currently exist in the examination process. Beginning October 1, 2018, new representatives will need to take a new exam, the Security Industry Essentials (SIE) exam.  In addition, new representatives will need to take a top-off exam in… READ MORE