Insights & News

Stradley Ronon Presents Final Financial Services Regulatory Workshop of 2023

December 07, 2023
Firm News

NEW YORK – Stradley Ronon hosted the latest of the firm’s financial services regulatory workshops on Dec. 6 at the Penn Club of New York. The event was presented by members of Stradley Ronon’s broker-dealer regulatory practice, including partners Gregory DiMeglio and Lawrence Stadulis, managing counsel Samantha Kats, counsel John Baker, and senior counsel Frederic Krieger.

Financial services and broker-dealer industry professionals gathered to discuss the latest updates and changes in the financial services industry, including issues relating to cooperating in an investigation with the Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”); the constitutionality of FINRA disciplinary proceedings; and the fixed-income exemption from Rule 15c2-11 recently issued by the SEC.

The next workshop is scheduled for January 17,2024.

Stradley Ronon’s broker-dealer regulatory practice provides a broad range of legal services to broker-dealers, underwriters, distribution participants and other financial intermediaries. The team counsels clients on issues related to broker-dealer status; formation, registration and membership; securities transfer, clearance and settlement; and regulatory compliance, among others.

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.

Related Resources

back to top