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Law Firm Presentation on Recent Financial Risk Rulemaking Initiatives

On Thursday July 27 at 3 pm ET, Steven Lofchie and Nihal Patel of Fried Frank will present on the following recent SEC and FINRA financial risk rulemaking initiatives: (i) FINRA Seeks Comment on Concept Proposal for a Liquidity Risk Management Rule (FINRA Regulatory Notice 23-11); (ii) Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements) (SR-FINRA-2023-010); and (iii) the SEC rule proposal on Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule. FIF is inviting the members of the FIF Back Office Committee, the FIF Compliance and Surveillance Working Group, and the newly-formed FIF Financial Risk Regulations Working Group to participate on this call. FIF will add members who join this call, and can be identified through Zoom, to this new Working Group.

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