NEW YORK — Stradley Ronon kicked off the new year with the firm’s Financial Services Regulatory Workshop at the Penn Club of New York. The January 17 event was presented by members of Stradley Ronon’s broker-dealer regulatory practice, including counsel John Baker, managing counsel Katrina Berishaj, partners Greg DiMeglio and Larry Stadulis, and senior counsel Fred Krieger.
The workshop covered current topics affecting the financial services industry, with a focus on broker-dealer activity, including proposed U.S. Department of Labor fiduciary rulemaking, Financial Industry Regulatory Authority expectations for member firm oversight and diligence relating to third party vendor outsourcing, a new FINRA rule on projected performance, and FINRA time limits for bringing disciplinary cases.
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.
The next workshop will take place virtually on February 28.
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 lawyers seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.