Insights & News

Financial Services Regulatory Workshop

February 28, 2024
Noon-1:30 p.m. ET

Join Stradley Ronon’s Broker-Dealer Regulatory Practice for our ongoing program series on current topics affecting the financial services industry, with a focus on broker-dealer activity.

The 90-minute webcast will cover:

  • Regulation of crypto brokers.
  • SEC exam priorities.
  • FINRA’s 2024 Annual Regulatory Oversight Report.
  • Updated Form CRS FAQs.
  • SIFMA v. Ashcroft — SIFMA’s challenge to state rules limiting the use of social objectives in a securities recommendation.

Please let us know if there is a topic you would like us to explore at this or a future program. Share your thoughts with the presenters by following the registration link below.

Stradley Ronon Broker-Dealer Regulatory Contacts

John M. Baker
Counsel, Investment Management

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

Frederic M. Krieger
Senior Counsel, Investment Management

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

Lawrence P. Stadulis
Partner and Co-Chair, Fiduciary Governance


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