PIABA BAR JOURNAL VOLUME 19, NO. 3 • 2012

HOW NEW SWAP REGULATIONS MANDATED BY THE DODD-FRANK ACT COULD HELP STABILIZE THE REPO MARKET
Frederick Hearn

SUITABILITY IN THE WAKE OF FINRA REGULATORY NOTICE 12-55
Jenice L. Malecki, Esq., Adam M. Nicolazzo, Esq. and Robert M. Van De Veire, Esq.

401(k) PLANS: AN ERISA FIDUCIARY RESPONSIBILITY PRIMER PART TWO
Charles G. Humphrey

WHAT IS A TIC WORTH?
Tim Husson, PhD,Craig McCann, PhD, CFA, Edward O’Neal, PhD and Carmen Taveras, PhD

AN EXPERT’S VIEW ON CURRENT TOPICS IN THE SECURITIES AREA
Mark Passacantando, RFC, MBA

RECENT ARBITRATION AWARDS
Howard B. Prossnitz

WHERE WE STAND

a publication of Public Investors Arbitration Bar Association
2012 © PIABA