Lawrence P. Stadulis

Virtual

Streaming Virtually Via ON24

Join Stradley Ronon for some coffee and conversation on hot topics affecting the financial services industry, including:

• Updates on Remote Inspections
• The Precarious Status of SEC Administrative Proceedings (Axon Enterprise, Inc v. FTC and Jarkesy v. SEC)
• SIPC and Excess Brokerage Coverage
• Developments in Regulation Best Interest (Reg BI)
• DOL Fiduciary Rule Updates
• Artificial Intelligence in the Securities Industry

While there is no cost to attend, registration in advance is required.
CLE credit pending for: CA, IL, NJ, NY and PA  (CLE credit not available on the REPLAY).

Stradley Ronon Presenters:
John M. Baker
Counsel
Investment Management

Jan M. Folena
Partner & Co-Chair,
Securities Litigation

Peter M. Hong
Partner & Co-Chair
Derivatives & Commodities

Frederic M. Krieger
Senior Counsel
Investment Management

Lawrence P. Stadulis
Partner & Co-Chair
Fiduciary Governance