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Lawrence Stadulis Co-Instructs NRS Course on the Advisers Act Books and Records Rule

September 14, 2021
Firm News
PHILADELPHIA – Stradley Ronon Partner Lawrence P. Stadulis served as a co-instructor for the National Regulatory Services course, “Books and Records Requirements for Investment Advisers,” on Sept. 14. Stadulis covered the SEC books and records rule, including recent amendments, and an overview of the SEC’s expectations regarding non-required records that are included in the SEC examination document request list. The session also covered paper and electronic storage of records, including email technology and solutions, and record management practices that help advisers avoid common examination deficiencies.

Stadulis chairs Stradley Ronon’s broker-dealer regulatory group and 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.

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 seven 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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