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.

POSTED Feb 07,2022

Spotlight Presentation on SEC Proposed Amendments to Reg ATS and Reg SCI

On Tuesday, February 15 at 2 pm, Ignacio Sandoval and Kyle Whitehead of the Morgan Lewis law firm will present on the SEC’s recently-proposed amendments to Regulations ATS and Regulation SCI. The amendments propose to apply Regulation ATS and Regulation SCI to ATSs that trade Treasury and agency securities and repos on those securities. The amendments also propose to expand the ATS definition to include RFQ and other trading systems. The invite for this presentation has been sent to the members of the FIF ATS, Compliance and TRACE/Fixed Income Working Groups and the FIF Front Office and Back Office Committees. 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.

POSTED Feb 07,2022

FIF Rule 606 Working Group

The FIF Rule 606 Working Group will meet on Tuesday February 8 at 2pm ET to discuss a draft interchange report to facilitate Rule 606(a) options look-through reporting, Rule 606 reporting for cash value orders that involve fractional shares, and the FINRA proposal to require reporting for routes in OTC equities. The Working Group also will review a recent filing by the SEC with the Office of Management and Budget (OMB) that estimates the annual costs to the industry for Rule 606 compliance.

POSTED Jan 31,2022

FIF TRACE Working Group

The FIF TRACE Working Group will meet on Thursday February 3 at 3pm ET to continue its discussion of the rule adopted by the Federal Reserve Board to expand TRACE reporting for Treasury and agency securities to certain depository institutions that are not broker-dealers.

POSTED Jan 31,2022

Spotlight Presentation on FINRA Rule Changes for Covered Agency Transaction Margin Requirements and Security-Based Swaps

On Thursday February 10 at 3 pm ET, 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, the Compliance Working Group and the TRACE/Fixed Income Working Group. 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.

POSTED Jan 31,2022

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