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 important

NOTICE

Date:                      Tuesday, March 19^th, 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

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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.org

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