NEW YORK – Stradley Ronon hosted a Financial Services Broker-Dealer Workshop on September 18 at the Penn Club of New York. The event is part of an ongoing series discussing current topics of interest related to broker-dealer activity.
Presenters included Mark Attar, Fred Krieger and Larry Stadulis, co-chairs of the broker-dealer practice; Katrina Berishaj, who co-chairs the fiduciary governance practice alongside Larry; Paula Shaffner, co-chair of the securities litigation and enforcement practice; and counsel John Baker.
Topics of discussion included the recent anti-money laundering proposal from the U.S. Department of the Treasury's Financial Crimes Enforcement Network (FinCEN), the broker-dealer financial responsibility rule update, the status of fiduciary rule litigation, residential supervisory locations and the SEC recordkeeping enforcement update.
Stradley Ronon’s broker-dealer practice provides a broad range of legal services to broker-dealers, underwriters, distribution participants and other financial intermediaries. The team counsels clients on issues related to broker-dealer status; formation, registration and membership; securities transfer, clearance and settlement; and regulatory compliance.
About Stradley Ronon
Counseling clients since 1926, Stradley Ronon has helped private and public companies — from small businesses to Fortune 500 corporations — achieve their goals by providing pragmatic, value-driven legal counsel. With offices in nine locations, our responsive team of more than 200 lawyers seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.