11:45 a.m. Registration | 12-1:30 p.m. Lunch and Discussion
Join Stradley Ronon for lunch and conversation on hot topics affecting the financial services industry, with a focus on broker-dealer activity.
Topics:
- Proposed DOL Fiduciary Rulemaking.
- FINRA Vendor Oversight.
- New FINRA Rule on Projected Performance.
- Discussion of In re Robert R. Tweed (reliance on counsel and time limits on FINRA bringing disciplinary cases).
Please let us know if there’s a topic you would like us to explore. Share your thoughts with the presenters by following the registration link below.
Stradley Ronon Presenters:
John M. Baker
Counsel, Investment Management
Katrina L. Berishaj
Managing Counsel & Co-Chair, Fiduciary Governance
Gregory D. DiMeglio
Partner & Chair, Securities Enforcement
Frederic M. Krieger
Senior Counsel, Investment Management
Lawrence P. Stadulis
Partner & Co-Chair, Fiduciary Governance
Save the Date: Wednesday, Feb. 28, 2024, for the next meeting of the group streaming virtually via ON24.