Mark M. Attar
PartnerCo-Chair, Broker-Dealer
Stradley Ronon's Financial Services Broker-Dealer Workshop
December 5, 2024 12:00 PM– 1:30 PM EST
Mark M. Attar, Steven D. Feldman, Frederic M. Krieger and Lawrence P. Stadulis
Penn Club of New York
Spruce Room, 3rd Floor 30 W 44th St.
New York, New York
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Workshop Discussion Topics & Related Materials
- Decision in the Alpine Case by the D.C. Circuit
Steven D. Feldman - Recent FINRA AWC Observations
Mark M. Attar - Recent Regulation Best Interest Enforcement Proceeding
https://www.sec.gov/files/litigation/admin/2024/34-101493.pdf
Lawrence P. Stadulis - SEC Dealer Rule Vacated
John M. Baker & Lawrence P. Stadulis - Corporate Transparency Act
https://www.fincen.gov/boi
https://www.stradley.com/publications/navigating-the-corporate-transparency-act-and-the-future-of-beneficial-ownership-reporting
John M. Baker
Save the Date: Wednesday, February 5, 2025 for the next in-person meeting at the Penn Club of New York. Potential discussion topics can be submitted to kbrownlee@stradley.com.
