Financial Services Broker-Dealer Workshop
May 30, 2024
12-1:30 p.m. ET
Stradley Ronon’s Town Hall
2005 Market St., 26th floor
Philadelphia, Pennsylvania 19103
Join Stradley Ronon for lunch and a roundtable discussion that will cover current topics of interest relating to broker-dealers, including:
- FINRA exam priorities.
- DOL fiduciary rule.
- Best practices in response to regulatory inquiries.
- Noncompete clauses.
- “Shadow trading”: SEC v. Panuwat.
As a reminder, this workshop will be our first hosted in Philadelphia this year. Please let us know if there’s an additional topic you would like us to explore. Share your thoughts with the presenters by following the registration link below.
STRADLEY RONON PRESENTERS:
- Katrina L. Berishaj, Managing Counsel and Co-Chair, Fiduciary Governance
- Jonathan F. Bloom, Partner and Chair, Employment & Labor
- Gregory D. DiMeglio, Partner and Chair, Securities Enforcement
- Frederic M. Krieger, Senior Counsel and Co-Chair, Broker-Dealer
- Amy E. Sparrow, Partner
- Lawrence P. Stadulis, Partner and Co-Chair, Fiduciary Governance and
Broker-Dealer
Save the Date: Wednesday, September 11, for our next in-person workshop in New York.
Register