Spotlight Presentation on FINRA Rule Changes for Covered Agency Transaction Margin Requirements and Security-Based Swaps
On Thursday, February 10 at 3 pm, Steven Lofchie and Nihal Patel of Cadwalader, Wickersham & Taft LLP will present on the SEC’s recent approval of a FINRA rule filing relating to margin requirements for covered agency transactions. They will also review a recently approved FINRA rulemaking to apply FINRA rules (including margin) to security-based swaps entered into by broker-dealers as principal or agent. They will also discuss the status of other developments relating to margin requirements for broker-dealers. The invite for this presentation has been sent to the members of the FIF Back Office Committee and the Compliance and TRACE/Fixed Income Working Groups. If you are interested in attending this presentation and do not have the invite in your calendar, please either update your profile or email us at