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

April 12, 2024
Firm News

PHILADELPHIA Stradley Ronon hosted the third Financial Services Regulatory Workshop this year as part of a series discussing current topics of interest relating to broker-dealer activity.

Hosted April 10 in New York, event presenters included Frederic Krieger, co-chair of the firm’s broker-dealer practice group, Larry Stadulis, co-chair of the firm’s broker-dealer and fiduciary governance practices; Katrina Berishaj, co-chair of the fiduciary governance practice, and partner Amy Sparrow.. The roundtable discussion covered new dealer rules from the U.S. Securities and Exchange Commission, U.S. Department of Labor and fiduciary rule updates, remote office inspections, and considerations for parallel-track defamation and discrimination actions related to Form U5 litigation.

Stradley Ronon’s broker-dealer 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 Financial Services Regulatory Workshop is set to take place May 30 in the firm’s Philadelphia office.

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 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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