12:00-1:15 p.m. ET
Streaming Virtually Via ON24
Join Stradley Ronon for some coffee and conversation on hot topics affecting the financial services industry, including:
- Updates on Remote Inspections
- The Precarious Status of SEC Administrative Proceedings (Axon Enterprise, Inc v. FTC and Jarkesy v. SEC)
- SIPC and Excess Brokerage Coverage
- Developments in Regulation Best Interest (Reg BI)
- DOL Fiduciary Rule Updates
- Artificial Intelligence in the Securities Industry
While there is no cost to attend, registration in advance is required.
CLE credit pending for: CA, IL, NJ, NY and PA (CLE credit not available on the REPLAY).
Stradley Ronon Presenters:
John M. Baker
Counsel
Investment Management
Jan M. Folena
Partner & Co-Chair,
Securities Litigation
Peter M. Hong
Partner & Co-Chair
Derivatives & Commodities
Frederic M. Krieger
Senior Counsel
Investment Management
Lawrence P. Stadulis
Partner & Co-Chair
Fiduciary Governance