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Welcome to the Puget Sound Chapter of the
American Association of Individual Investors

We are a grassroots, nonprofit organization with a mission to provide honest, unbiased investment information to individual investors in the Puget Sound area.

We are managed by a board of directors that is entirely made up of volunteers. We sponsor an educational seminar in every odd-numbered month. Members, their guests and non-members attend our seminars.

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Our next seminar:

Regulatory Update from the SEC

Lori Schock
September 17, 2020 from 6:00 pm to 8:00 pm

Lori SchockOn June 5, 2019, the Securities and Exchange Commission adopted a package of rulemakings and interpretations designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers. This brings the legal requirements and mandated disclosures in line with reasonable investor expectations, while preserving access (in terms of choice and cost) to a variety of investment services and products. These actions are designed to enhance and clarify the standards of conduct applicable to broker-dealers and investment advisers, help retail investors better understand the services offered and make an informed choice.

ABOUT THE PRESENTER

Lori Schock was named Director of the Securities and Exchange Commission’s Office of Investor Education and Advocacy in October 2009. She previously was Associate Director at the Financial Industry Regulatory Authority’s (FINRA) Investor Education Foundation and Office of Investor Education, and before that, was Director of Outreach at the Center for Audit Quality. Earlier in her career, Ms. Schock served at the SEC and held positions as Acting Director, Deputy Director and Special Counsel to the Director of OIEA. She joined the agency in 2001 as a Staff Attorney. Ms. Schock received her law degree and Master of Taxation from the University of Akron and her bachelor’s degree from Furman University.

Attend this seminar to learn:

  • A better understanding of Regulation Best Interest (Reg. BI) and Form CRS that went into effect this summer
  • Awareness of COVID-19 Investment Scams
  • An opportunity to ask questions of a senior SEC official

Meeting Location:

This will be an online meeting. Register at www.eventbrite.com to receive the meeting link. Please enter a donation — as much as you can — The more you contribute, the better the speakers we can bring you.

If you choose not to donate to this online event and wish to have a link emailed to you instead, please send an email to webmaster@aaiips.org
Get Directions

Registration:

Please preregister 48 hours before the event to give us an estimated headcount.

If you would rather not pay with a credit card, you can register by mail.

5:30 p.m. — Online link becomes live
6:00 p.m. — Presentation begins
8:00 p.m. — Adjournment

Open to the public. AAII membership is not required to attend.

Payment

Please send a contribution of ANY AMOUNT of your choice for each person who will attend. The more you contribute, the better speakers we can bring you. Contact us at least 24 hours prior to the seminar for a full refund.


Disclaimer

The opinions of speakers are their own and not necessarily those of AAII. It is not the policy of AAII or its local chapters, officers, or directors to promote any specific investments or techniques of analysis. Presentations are provided solely for informational purposes and should not be construed as solicitations. There are no representations or warranties of any kind, expressed or implied, about the completeness, accuracy, reliability, or suitability of meeting information. Investment information presented may not be appropriate for all investors and should be independently verified.


Special Interest Groups:

AAII Special Interest Groups (SIGs) are small gatherings sponsored by Local Chapters where members meet for general discussion or to explore a specific investment topic of interest to the group. 

Eastside SIG

Chair: Jim Shaw
eastsidesig@aaiips.org

This discussion group meets in Bellevue or Mercer Island at 7 p.m. on the second Tuesday of each month (except in July and August). To receive a notice prior to each meeting, send a blank email to AAIIEastsideSIG-subscribe@YahooGroups.com

 

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