11:45 a.m. Registration | 12-1:30 p.m. Lunch and Discussion
Join Stradley Ronon’s broker-dealer regulatory practice for lunch and conversation on hot topics affecting the financial services industry, focusing on broker-dealer activity.
Agenda
- Cooperating with the SEC and FINRA.
- Constitutionality of FINRA disciplinary proceedings.
- Developments in ERISA; the fiduciary/investment advice proposal.
- State developments: NASAA initiatives and the Massachusetts Fiduciary Rule.
- The new fixed-income exemption from Rule 15c2-11.
We are always interested in other topics to explore at our workshops. Please send your ideas to us by following the registration link below.
STRADLEY RONON PRESENTERS:
John M. Baker
Counsel, Investment Management
Katrina L. Berishaj
Managing Counsel & Co-Chair, Fiduciary Governance
Gregory D. DiMeglio
Partner & Chair, Securities Enforcement
Samantha B. Kats
Managing Counsel, Securities Litigation & Enforcement
Frederic M. Krieger
Senior Counsel, Investment Management
Lawrence P. Stadulis
Partner & Co-Chair, Fiduciary Governance