Stradley Ronon Financial Services Regulatory Workshop
April 10, 2024 11:45 AM– 1:30 PM
Katrina L. Berishaj, Frederic M. Krieger, Amy E. Sparrow and Lawrence P. Stadulis
Penn Club of New York
Spruce Room, 3rd Floor 30 W 44th Street
New York, New York
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Join Stradley Ronon for lunch and a roundtable discussion that will cover current topics of interest relating to broker-dealers, including:
Agenda
- New dealer rules from the SEC.
- DOL and fiduciary rule updates.
- Form U-5 litigation: Considerations for parallel-track defamation and discrimination actions.
- Remote office inspections.
Please let us know if there’s a 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 & Co-Chair, Fiduciary Governance
Frederic M. Krieger
Co-Chair, Broker-Dealer
Amy E. Sparrow
Partner, Securities Litigation & Enforcement
Lawrence P. Stadulis
Partner & Co-Chair, Fiduciary Governance
Save the Date: Thursday, May 30, 2024, for the next in-person meeting of the group in our Philadelphia office.
