NEW YORK – Stradley Ronon hosted its final financial services broker-dealer workshop of the year on December 5 at the Penn Club of New York. The event was part of the ongoing series discussing current topics of interest related to broker-dealer activity. Presenters included broker-dealer practice co-chairs Mark Attar and Larry Stadulis, who also co-chairs the fiduciary governance practice; counsel John Baker; and partner Steven Feldman, co-chair of the white-collar defense, internal investigations and corporate compliance practice.
Topics included recent Financial Industry Regulation Authority (FINRA) acceptance, waiver and consent observations; the recent DC Circuit Court decision in Alpine Securities v. FINRA; the U.S. Securities and Exchange Commission’s Dealer Rule; and the Corporate Transparency Act. 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.
The first broker-dealer regulatory workshop of 2025 will take place on February 5, also at the Penn Club of New York.
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 lawyers seamlessly address the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.