Winston & Strawn Sponsors, Attorneys Speak at FMA’s 33rd Annual Securities Compliance Seminar

Winston & Strawn was a proud sponsor of the Financial Markets Association (FMA)’s 33^rdAnnual Securities Compliance Seminar in Chicago, IL, from April 17-19, 2024. 

Basil Godellas—who serves as co-chair of the Financial Services Practice—was a speaker on the kick-off panel, and Financial Services partner Kim Prior moderated. Their panel topics included:

• key 2024 legislative and regulatory initiatives;
• persistent compliance issues and challenges related to outside business activities of associated persons;
• preparing for the transition to a T+1 practice for securities settlements which has an imminent compliance date of May 28, 2024;
• and the increased regulation by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory (FINRA) of Regulation Best Interest (Reg BI). 

Associate Janelle Rodriguez-Mena was also in attendance.