Stradley Ronon's Financial Services Broker-Dealer Workshop
September 18, 2024 12:00 PM– 1:30 PM EDT
Mark M. Attar, Katrina L. Berishaj, Frederic M. Krieger and Lawrence P. Stadulis
Penn Club of New York
Spruce Room, 3rd Floor, 30 W 44th St.
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:
- AML Proposal from FINCEN
- Broker-Dealer Financial Responsibility Rule Update
- Status of Fiduciary Rule Litigation
- Residential Supervisory Locations
- SEC Recordkeeping Enforcement Update
We encourage you to forward this invitation to colleagues who might benefit from this workshop. We look forward to seeing you on September 18.