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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 fifinfo@fif.com.

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