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RoundtableCompliance & RegLegalHedge
Stradley Ronon Financial Services Broker-Dealer Workshop
by Stradley Ronon
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Lunch and roundtable discussion on current broker-dealer regulatory topics, led by six Stradley Ronon financial services and compliance attorneys. Agenda covers amendments to FINRA Rule 2210 on communications with the public, the broker-dealer financial responsibility rule, sharing compensation with employee-owned companies, market structure and best execution, the DOJ's corporate enforcement program, when a regulatory issue becomes a criminal matter, and hot topics in litigation. 60 minutes of CLE credit pending approval in CA, IL, NY and PA.
- When
- Sep 15 · 12:00-1:30 PM ET
- Where
- Stradley Ronon, Park House Conference Room, 2nd Floor, 100 Park Ave #2000, New York, NY
- Cost
- No fee stated; RSVP required. Virtual attendance available on request.
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