NEW YORK — Partners from Stradley Ronon’s investment management and litigation departments met with clients in the firm’s New York office and virtually for the second financial services broker-dealer workshop of 2025. The event is part of the ongoing series of broker-dealer practice group workshops sharing analysis and insights about current topics of interest related to broker-dealer practice. 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; Paula Shaffner, co-chair of the securities litigation and enforcement practice; Greg DiMeglio, co-chair of the securities enforcement practice; and partner Jonathan Bloom in the labor and employment practice.
Discussions included the Financial Industry Regulatory Authority (FINRA) annual regulatory oversight report, FINRA’s proposed rule concerning outside business activities and private securities transactions, and the use of restrictive covenants in employment agreements. Presenters also provided the latest updates regarding digital asset regulation, current initiatives in the state securities commissions, and trends at the U.S. Department of Justice and the U.S. Securities and Exchange Commission.
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 June 4, 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.