1. Preamble - Product Cases - These requirements should be on List 1. This should also include a search of the selling broker's email for the product at issue during the relevant period. 2. Preamble and List 1 Item 20 - No Obligation to Create documents: Firms should be required to run reports on commissions, if possible, even if it requires the creation of a document. 3. List 1 Item 11 - All relevant written supervisory procedures, manuals and bulletins should be provided rather than various sections. 4. New Items: Insurance declaration pages should be provided.
Jennifer Shaw Executive Director PIABA 1300 McGee Drive, Ste. 112 Norman, OK 73072 (405) 300-8909
From: McCardle, Lance C. via Arbitration arbitration@mail.piaba.org Date: Tuesday, March 19, 2024 at 1:08 PM To: Ashley Ringo ashley@piaba.org Cc: arbitration@mail.piaba.org arbitration@mail.piaba.org Subject: [Arbitration] Re: Tuesday - PIABA Arbitration Committee Meeting Good afternoon everyone. For today’s meeting, please try to come up with a list of changes that you may like to see to FINRA’s discovery guide. We would like to put together a concrete list to share with the PIABA members on the NAMC.
Thanks. -Lance
On Mar 14, 2024, at 10:35 AM, Ashley Ringo via Arbitration arbitration@mail.piaba.org wrote: You don't often get email from arbitration@mail.piaba.org. Learn why this is importanthttps://aka.ms/LearnAboutSenderIdentification NOTICE
Date: Tuesday, March 19th, 2024 Time: 4:00pm ET; 3:00pm CT; 2:00pm MT; 1:00pm PT Meeting ID: 885 6698 2861 Passcode: 594401 Link: https://us06web.zoom.us/j/88566982861?pwd=LzVHZzQ4MWZrK2lvR0Rlc0dkYWVXUT09
Dial by your location +1 669 900 6833 US (San Jose) +1 253 215 8782 US (Tacoma) +1 346 248 7799 US (Houston) +1 929 205 6099 US (New York) +1 301 715 8592 US (Washington DC) +1 312 626 6799 US (Chicago) Find your local number: https://zoom.us/u/aiAdIR0S4
Sincerely, Ashley
Ashley Ringo PIABA, IT Assistant 1300 McGee Dr., Ste. 112 Norman, OK 73072 Direct: 405-832-0128 Toll Free: 888-621-7484 x104 Email: ashley@piaba.orgmailto:ashley@piaba.org
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