12-1:30 p.m. ET
Spruce Room, 3rd Floor,
30 W 44th St.
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.