Insights & News

Stradley Ronon Financial Services Regulatory Workshop

January 17, 2024
11:45 a.m. Registration | 12-1:30 p.m. Lunch and Discussion

Penn Club of New York
Spruce Suite, 3rd Floor 30 W 44th Street
New York, New York

Join Stradley Ronon for lunch and conversation on hot topics affecting the financial services industry, with a focus on broker-dealer activity.

Topics: 

  1. Proposed DOL Fiduciary Rulemaking.
  2. FINRA Vendor Oversight.
  3. New FINRA Rule on Projected Performance.
  4. 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.

Related Professionals

Related Services

Related Resources

back to top