Derivatives & Commodities

Join Stradley Ronon for lunch and conversation on hot topics affecting the financial services industry, including:

• FINRA Continuing Commissions Policy
• Self-Reporting Under FINRA Rule 4530
• SEC Proposal on Conflicts of Interest Associated with Predictive Analytics
• New FINRA Rules on Expungement of Customer Complaints from CRD
• Draconian Consequences for not Making Prompt Payments of Arbitration Fees in California

Stradley Ronon Presenters:
John M. Baker
Counsel
Investment Management

Peter M. Hong
Partner & Co-Chair
Derivatives & Commodities

Samantha B. Kats
Managing Counsel
Securities Litigation & Enforcement

Frederic M. Krieger
Senior Counsel
Investment Management

Lawrence P. Stadulis
Partner & Co-Chair
Fiduciary Governance