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Stradley Ronon’s Broker-Dealer Practice Hosts Second Financial Services Regulatory Workshop of 2024

February 29, 2024
Firm News

PHILADELPHIA — Stradley Ronon hosted the second Financial Services Regulatory Workshop of the year virtually on February 28 as part of a series discussing current topics affecting the financial services industry, with a focus on broker-dealer activity.

Presenters from the firm’s broker-dealer practice group included partners Peter Hong, Amy Sparrow and Larry Stadulis, managing counsel Katrina Berishaj, senior counsel Fred Krieger and counsel John Baker. The webcast covered the U.S. Securities and Exchange Commission’s examination priorities, the Financial Industry Regulatory Authority’s 2024 Annual Regulatory Oversight Report, the regulation of crypto brokers, updates to Form CRS FAQs and the SIFMA v. Ashcroft decision.

Stradley Ronon’s broker-dealer practice group 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 is set to take place in New York on April 10. 

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.

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