Lawrence P. Stadulis
PartnerCo-Chair, Broker-Dealer
Publications
Client Alert
SEC Settles Enforcement Actions with JPMorganChase Affiliates for $151M
November 25, 2024Client Alert
SEC Settles Charges Against RIAs for Misleading Conflict of Interest Disclosures Under the Marketing Rule
September 18, 2024Client Alert
With Great Power Comes Great Responsibility: FINRA Underscores Regulatory Implications of Using AI
July 16, 2024Client Alert
As Summer Approaches, Fifth Circuit Sends Private Funds Rule on Vacation
June 12, 2024Client Alert
DOL Issued Final Amendments to the QPAM Exemption. What Do You Need to Know?
May 1, 2024Client Alert
Narrowing the Gap: The SEC Limits Advisers’ Internet Exemption
April 3, 2024Client Alert
SEC Expands Dealer Definition to Increase Regulation of Liquidity Providers, Now Challenged in Federal Court
March 20, 2024Client Alert
Déjà Vu All Over Again: DOL Proposes New Fiduciary Investment Advice Rule
December 1, 2023Client Alert
Massachusetts Supreme Judicial Court Upholds the March 2020 Rule
September 28, 2023Client Alert
SEC Brings First Enforcement Action Under Amended Advisers Act Marketing Rule
September 5, 2023Client Alert
To Bot or Not To Bot: The SEC’s Proposed Conflict Rules May Stifle Use of Innovation
August 15, 2023Publications
Fiduciary considerations: The qualified default investment alternative
August 1, 2023 – Franklin Templeton and Stradley Ronon White PaperClient Alert
SEC Proposes New Rule Addressing Investment Adviser Safeguarding of Client Assets
March 27, 2023Client Alert
SEC Spotlight on Robo-Advisers: Exam Staff Observations
November 16, 2021
