Credit & Margin April Dinner

Proposed Amendments to FINRA Rule 4521 and New Supplemental Liquidity Schedule

Overview

Join the Credit & Margin Section for the second of the 2018 dinners – mark your calendar for our last dinner on October 25th.

Program

5:00pm – 8:00pm

Participants

Bill Wollman

Speaker

Bill Wollman

Executive Vice President, Member Regulation - Regulatory Oversight & Operational Regulation

FINRA

Bill Wollman’s Biography

Venue

India House Club

One Hanover Square
New York, NY 10004

India House is dedicated to serving its members with the highest standard in dining and amenities, and to attract new members for whom India House provides a pleasant place to meet socially and a convenient location to entertain business associates.

Picture of venue

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.