Securities & Regulatory Enforcement

Join Stradley Ronon for lunch and a roundtable discussion that will cover current topics of interest relating to broker-dealers, including:

• FINRA’s Advertising Regulation Conference.
• The FINRA CMA process: An insider’s discussion.
• Litigation forum selection for cases with broker-dealers and registered investment advisers/other non-broker-dealers.
• Update on Bank Secrecy and AML.

We encourage you to forward this invitation to colleagues who might benefit from this workshop. We look forward to seeing you on October 24.