Lori is frequently called upon to give her insight and knowledge on a variety of securities law and compliance matters. The following are reprints of some of her articles and speeches.
Missouri Municipal League Review, November 2011. Recently Proposed Changes in Reporting for Public Pension Plans Affecting Municipalities and Governmental Entities
[pdf. file]
FPA of Greater St. Louis, May 2011,A Look at the Regulation of Financial Planners in this Shifting Regulatory Landscape [pdf. file]
NAIFA Missouri, October 2010, Variable Annuity Suitability-How to Avoid Your Name Here [pdf. file]
NAPFA St. Louis, September 2010, A Presentation on Current Regulatory Matters of Interest to Investment Advisers and Financial Planners [pdf. file]
NAIFA Mid Missouri Chapter, July 2010, REGULATORY UPDATE FOR INVESTMENT ADVISERS: The "New" Custody Rule, Changes in SEC Registration, and a Harmonizing of the Fiduciary Duty Standard [pdf. file]
LIMRA Regulatory Review, July 2010, What We Can Expect in the Future by Looking Back at the Federal Regulatory Overhaul Discussion Since 2008 [pdf. file]