PHILADELPHIA – Stradley Ronon Attorneys Lawrence P. Stadulis, Sara P. Crovitz and John M. Baker served as panelists for Strafford’s webinar, “Regulation Best Interest and Other New SEC Standards of Conduct: Impact on Broker-Dealers, Investment Advisers and Investment Companies,” on July 31. The panel discussed the SEC’s June 5, 2019 adoption of Regulation Best Interest, Form CRS and other rules and interpretations, and their effect on registered investment advisers, registered broker-dealers and investment companies.
Stadulis chairs Stradley Ronon’s broker-dealer regulatory group, as well as co-chairs the firm’s fiduciary governance group and investment advisers group. He advises clients in matters pertaining to the registration and regulation of investment advisers and investment companies under federal and state securities laws. Stadulis also manages related issues pertaining to investment advisers and investment companies, including matters involving ERISA, broker-dealer regulation and banking laws.
Crovitz provides counsel on all aspects of investment company and investment adviser regulation. Prior to joining Stradley Ronon, she was Deputy Chief Counsel and Associate Director of the U.S. Securities and Exchange Commission’s Division of Investment Management, and worked at the SEC for 21 years, including 17 years in the Division of Investment Management focusing on issues under the Investment Company and Investment Advisers Acts of 1940.
Baker focuses his practice on complex securities law and banking issues for mutual funds and their boards of directors/trustees, investment advisers, broker-dealers, banks, hedge funds and other participants in the financial markets. He is known throughout the mutual fund industry as the creator and moderator of FundLaw, a leading online discussion group that reports developments and changes in securities law, with an emphasis on legal issues impacting the investment management industry.
About Stradley Ronon
Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With offices in eight strategic locations, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.