PHILADELPHIA – Stradley Ronon Fiduciary Governance Co-Chair Lawrence “Larry” P. Stadulis moderated a panel of securities and regulatory professionals titled “Securities Law and Practice 2023: How the SEC Works” for the Practising Law Institute (PLI).
The panel examined the organization and operation of the Securities and Exchange Commission (SEC). They discussed the distinct roles of the SEC Chair, Commissioners and staff; the different roles and responsibilities of the SEC’s operating divisions; the distinction between the work that is done in the SEC’s regional offices versus the SEC’s headquarters; how the SEC interacts with other regulators; how the SEC is overseen in Congress and the different ways in which the SEC speaks.
Larry advises clients in matters pertaining to the registration and regulation of investment advisers and investment companies under federal and state securities laws and related issues with regard to investment advisers and investment companies, including matters involving ERISA, broker-dealer regulation and banking laws. Larry previously served as special counsel in the Office of Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission, where he was principally responsible for responding to no-action and interpretive requests under the Investment Company Act of 1940 and Investment Advisers Act of 1940.
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.