PHILADELPHIA – Stradley Ronon leaders gathered at the firm’s Philadelphia office on October 24 to present a financial services broker-dealer workshop. The event is part of an ongoing series discussing current topics of interest related to broker-dealer activity.
Presenters included broker-dealer practice co-chairs Mark Attar, Frederic Krieger and Larry Stadulis, who also co-chairs the fiduciary governance practice, John Baker, and Esther Cho, co-chair of the securities litigation and enforcement practice and partner-in-charge of the firm’s Southern California office.
Topics of discussion included the Financial Industry Regulation Authority (FINRA)’s Advertising Regulation Conference, the FINRA Continuing Membership Application (CMA) process, litigation forum selection for cases with broker-dealers and registered investment advisers or other non-broker-dealers, an update on bank secrecy and anti-money laundering laws, and the SEC’s Department of Examinations priorities for 2025.
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.