Insights & News

Stradley Ronon Financial Services Regulatory Workshop

September 13, 2023

Penn Club of New York

30 W 44th Street Tarnopol Room, 10th Floor

New York, New York

11:30 a.m. Registration & Lunch
12-1:15 p.m. Presentation

Join Stradley Ronon for lunch and conversation on hot topics affecting the financial services industry, including:

FINRA Continuing Commissions Policy
Self-Reporting Under FINRA Rule 4530
SEC Proposal on Conflicts of Interest Associated with Predictive Analytics
New FINRA Rules on Expungement of Customer Complaints from CRD
Draconian Consequences for not Making Prompt Payments of Arbitration Fees in California

Stradley Ronon Presenters:
John M. Baker
Counsel
Investment Management

Peter M. Hong
Partner & Co-Chair
Derivatives & Commodities

Samantha B. Kats
Managing Counsel
Securities Litigation & Enforcement

Frederic M. Krieger
Senior Counsel
Investment Management

Lawrence P. Stadulis
Partner & Co-Chair
Fiduciary Governance

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Stradley Ronon Financial Services Regulatory Workshop

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Samantha B. Kats

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