A frequent speaker at industry events sponsored by the FINRA, the SEC, NASAA, NSCP, NAIBD, NRS, the CFA Society and other associations/firms, Lisa is called upon regularly to share her expertise regarding regulation, legislation, regulatory compliance, information security, and on a range of other topics. 

Lisa has been a hard-worker volunteering her time to ensure that the small firm perspective is heard. She has served on industry committees, including:

• FINRA Small Firms Rules Impact Task Force (2006-2008) - the purpose of this committee was to identify opportunity within the then-NASD rulebook to tailor rule making to small firms. Numerous recommendations were made by this Task Force.

• FINRA Series 14 (Compliance Examination) Item Writing Committee (2009 – present) - This committee is charged with drafting items for the CCO exam which is soon to be released. Because the exam was formerly comprised solely of NYSE items, input from small firms is critical to ensure its relevance to our community.

• FINRA Small Firm Advisory Board (2008 – Present) This Board meets several times a year to comment regarding all FINRA rule making before it is directed to the Board of Governors, and to address an ongoing list of small firm issues with FINRA senior staff.

• NAIBD Member Advocacy Committee (Chair since 2000) The MAC, under Roth's leadership, writes, calls and meets with industry leaders to express opposition to proposed rule making. Evidence of the work of the committee can be found elsewhere on this site.

• Third Party Marketers' Association or "3PM" (2008 - Present) - 3PM is comprised of BDs operating as marketers and placement agents. Roth has been actively involved in advocating for change in rule making with FINRA, the SEC and various state legislatures.

• Lisa has served as a FINRA arbitrator for more than 15 years.