Insights & News

Nicole Kalajian Serves as Panelist on a Washington DC Compliance Round Table Webinar on the SEC Rule 17h

August 20, 2020
Firm News
PHILADELPHIA – Stradley Ronon Attorney Nicole Kalajian served as a panelist for the Washington DC Compliance Round Table webinar on Aug. 20. Kalajian co-hosted with Marina Baranovsky, Principal Owner of Scitus Consulting LLC. The webinar, entitled, “Webinar: SEC Rule 17h: Risk Assessment and Recordkeeping Requirements Update for Broker-Dealers,” provided an interactive overview of the SEC Risk Assessment and Recordkeeping Requirements under Rule 17(h). The webinar also shared practical implementation advice, including the most recent changes to the Rule exempting certain broker-dealers from Rule 17(h).

Kalajian represents securities and commodities professionals in a variety of complex regulatory, compliance and corporate matters. She has extensive experience launching and advising various investment vehicles, such as hedge funds, private equity funds, venture capital funds, real estate funds, commodity pools, fund of funds and socially responsible investment vehicles. Kalajian provides legal and compliance guidance to registered and exempt investment advisers, commodity pool operators, commodity trading advisers, futures commission merchants, introducing brokers, forex firms, proprietary trading firms and broker-dealers.

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.

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