April 09, 2024 10:00 AM to 11:30 AM ET
This course will review major SEC reforms and cases in 2023 and discuss what to expect in from the SEC upcoming year. Moreover, course instructors will review developments in benefits, ERISA issues, and Pension Risk Transfer.
April 10, 2024 10:30 AM to 12:00 PM ET
This course will provide an in-depth review of FINRA’s Priorities for 2024 including communications with the public, ESG marketing, Reg BI, broader fund marketing and advertising. Additionally, the course will review the SEC’s revised marketing rule for Investment Advisers.
Instructor(s):
Katrina L. Berishaj, Managing Counsel, Co-Chair of Fiduciary Governance Practice Group, Stradley Ronon Stevens & Young, LLP
Jan M. Folena, Partner, Co-Chair of Securities Litigation & Enforcement Practice Group, Stradley Ronon Stevens & Young, LLP
Jamie M. Gershkow, Partner-in-Charge - NY, Stradley Ronon Stevens & Young, LLP
Peter M. Hong, Partner, Co-Chair of Derivatives & Commodities Practice Group, Stradley Ronon Stevens & Young, LLP
CLE pending approval in CA, CT, OH, IN, MI, NE, NJ, NY, PA, TX.