Insights & News

Stradley Ronon Financial Services Regulatory Workshop

December 6, 2023
11:45 a.m. Registration | 12-1:30 p.m. Lunch and Discussion

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

Join Stradley Ronon’s broker-dealer regulatory practice for lunch and conversation on hot topics affecting the financial services industry, focusing on broker-dealer activity.


  • Cooperating with the SEC and FINRA.
  • Constitutionality of FINRA disciplinary proceedings.
  • Developments in ERISA; the fiduciary/investment advice proposal.
  • State developments: NASAA initiatives and the Massachusetts Fiduciary Rule.
  • The new fixed-income exemption from Rule 15c2-11.

We are always interested in other topics to explore at our workshops. Please send your ideas to us by following the registration link below.


John M. Baker
Counsel, Investment Management

Katrina L. Berishaj
Managing Counsel & Co-Chair, Fiduciary Governance

Gregory D. DiMeglio
Partner & Chair, Securities Enforcement

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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