Insights & News

Stradley Ronon Financial Services Regulatory Workshop

September 13, 2023

Penn Club of New York
30 W 44th Street Tarnopol Room, 10th Floor
New York, New York

11:30 a.m. Registration & Lunch
12-1:15 p.m. Presentation

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
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

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