NEW YORK – Stradley Ronon hosted its first financial services broker-dealer workshop of the year on February 5 at the Penn Club of New York. The event was part of an ongoing series discussing current topics of interest related to broker-dealer activity. Presenters included Mark Attar and Frederic Krieger, co-chairs of the broker-dealer practice; Steven Feldman, chair of the white-collar defense, internal investigations and corporate compliance practice; and Jan Folena, co-chair of the securities enforcement practice.
Topics included updates to U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority rules, outlooks for the SEC and U.S. Department of Justice, and the recent settlement of a case relating to supervision of sales practices related to the sale of Agency CMOs.
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 next broker-dealer workshop will take place on April 2, 2025.
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.