Overview

As we look ahead to Security-based Swap (SBS) and SBS Dealer (SBSD) rules going live next October, we continue our series of webinars to facilitate discussions and provide updates on critical requirements and developments. Registration is complimentary for SIFMA members and financial industry regulators.

Webinar 3:
SBSD Registration

December 11, 2020
10:00 – 11:00 a.m. ET

In our third webinar, our panel will discuss the requirements, challenges and open issues related to SBSD registration.

This educational session is relevant for SBSDs-to-be and Swap Dealers, as well as broker-dealers and others involved in the SBS and Swap markets. In addition to in-house practitioners and an outside subject matter expert, the SEC will provide updates.

Speakers

  • Rosario Chiarenza, Executive Director, Head of Regulatory Reform Strategy, Morgan Stanley (see bio)
  • Eric Dasher, Senior Counsel focused on Derivatives and FX, Wells Fargo (see bio)
  • Carol McGee, Head of the Office of Derivatives Policy, SEC (see bio)
  • Setu Pandya, Managing Director, Ernst & Young (see bio)
  • Joerg Riegel, Head of U.S. Regulatory Initiatives, Société Générale (see bio)

Moderator

  • Kyle Brandon, Managing Director, Head of Derivatives Policy, SIFMA (see bio)

Our Sponsor

EY

Security-Based Swaps Webinar Series

Join our other webinars in the SBS series:

SIFMA Webinar Series

SBSD Registration

Webinar 3 of the Security-Based Swaps Series

Registration Rates – Until 12/10/20

  • Member Complimentary
  • Non-Member $99
  • Regulator Complimentary

Overview

As we look ahead to Security-based Swap (SBS) and SBS Dealer (SBSD) rules going live next October, we continue our series of webinars to facilitate discussions and provide updates on critical requirements and developments. Registration is complimentary for SIFMA members and financial industry regulators.

Webinar 3:
SBSD Registration

December 11, 2020
10:00 – 11:00 a.m. ET

In our third webinar, our panel will discuss the requirements, challenges and open issues related to SBSD registration.

This educational session is relevant for SBSDs-to-be and Swap Dealers, as well as broker-dealers and others involved in the SBS and Swap markets. In addition to in-house practitioners and an outside subject matter expert, the SEC will provide updates.

Speakers

  • Rosario Chiarenza, Executive Director, Head of Regulatory Reform Strategy, Morgan Stanley (see bio)
  • Eric Dasher, Senior Counsel focused on Derivatives and FX, Wells Fargo (see bio)
  • Carol McGee, Head of the Office of Derivatives Policy, SEC (see bio)
  • Setu Pandya, Managing Director, Ernst & Young (see bio)
  • Joerg Riegel, Head of U.S. Regulatory Initiatives, Société Générale (see bio)

Moderator

  • Kyle Brandon, Managing Director, Head of Derivatives Policy, SIFMA (see bio)

Our Sponsor

EY

Security-Based Swaps Webinar Series

Join our other webinars in the SBS series:

Venue

Virtual Gathering


Webinars, Webcasts, Virtual

Join us online for live and on-demand sessions! Participation instructions will be sent in advance of the event.

Picture of venue

Media

Media Inquiries
Contact Katrina Cavalli at 212.313.1181.

Media Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official Webinar Press Policy.

Webinar Tips and FAQs

For an optimal webinar experience, we recommend attendees view this webinar using a Chrome browser on a local machine. Avoid using a VPN or Remote Network (ie: Citrix).

You must have Javascript and Cookies enabled to access this webinar. For detailed information, including minimum system requirements and FAQs, view more Webinar Tips.

Please note: Webinar access instructions will be sent within 24 hours of the start of the webinar.

 

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. View our Code of Conduct and anonymous incident report form.

Cancellations
All cancellation requests are subject to a $25 processing fee and must be made in writing to SIFMA Conferences no later than 48 hours prior to the start of the webinar. No substitutions or transfers will be accepted.

 

Accreditation

CLE Credit

SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York.

Webinar attendees will be eligible for 1.5 CLE Credit hours. When registering for the webinar, please select the box for CLE Credit. All attendees who registered to receive CLE Credit will be sent an affirmation form from SIFMA Conferences. Attendance must be certified by each registrant seeking credits by completing the affirmation form immediately following the webinar using our CLE code word and emailing the form back to SIFMA Conferences. The moderator of the webinar will announce the CLE code word periodically throughout the webinar. CLE Credit cannot be certified after the webinar adjourns. Participants will receive CLE Certificates for New York State within 30 days of the webinar. Participants should self-file for CLE credit in other states.

View SIFMA’s Hardship Policy (pdf)