Noon-1:30 p.m. ET
Join Stradley Ronon’s Broker-Dealer Regulatory Practice for our ongoing program series on current topics affecting the financial services industry, with a focus on broker-dealer activity.
The 90-minute webcast will cover:
- Regulation of crypto brokers.
- SEC exam priorities.
- FINRA’s 2024 Annual Regulatory Oversight Report.
- Updated Form CRS FAQs.
- SIFMA v. Ashcroft — SIFMA’s challenge to state rules limiting the use of social objectives in a securities recommendation.
Please let us know if there is a topic you would like us to explore at this or a future program. Share your thoughts with the presenters by following the registration link below.
Stradley Ronon Broker-Dealer Regulatory Contacts
John M. Baker
Counsel, Investment Management
Katrina L. Berishaj
Managing Counsel and Co-Chair, Fiduciary Governance
Frederic M. Krieger
Senior Counsel, Investment Management
Peter M. Hong
Partner and Co-Chair, Derivatives & Commodities
Lawrence P. Stadulis
Partner and Co-Chair, Fiduciary Governance