Events

Join Stradley Ronon for lunch and a roundtable discussion that will cover current topics of interest relating to broker-dealers, including:

• Broker-Dealer Financial Responsibility Rule—Current Developments
• Privacy & Telephone Call Taping
• New Limit for Gifts and Gratuities Under Amended Rule 3220 & Outside Business Activities and Private Securities Transactions
• FINRA Proposes Amendments to Rule 2210 (Communications with the Public) to Permit Projected and Targeted Performance & Provides Guidance on the Use of Negative Consent Letters for Bulk Customer Account Transfers or Assignments
• Attorney Client Privilege and AI

This workshop will be offered in-person at our New York office and virtually upon request.