Securitization Spotlight Session

FINRA Rule 4210 Margining Implementation

Date

January 30, 2018

Location

New York, NY or Webinar

Overview

SIFMA is pleased to announce our next Securitization Spotlight Session on FINRA Rule 4210 Implementation on January 30 at the SIFMA Conference Center in New York City. Join featured speaker, Kris Dailey of FINRA for a discussion of critical aspects of the rule. The three panel event will provide insights into accounting and legal implementation hurdles that firms must overcome to ensure compliance by June 25, 2018.

Program

2:00pm – 2:30pm

Registration

2:30pm – 5:00pm

Sponsored by Margin Calculator

Sponsored by Margin Calculator

2:30pm – 3:00pm

Participants

Kris Dailey, Peter Tennyson

Speakers

Kris Dailey

Vice President, Risk Oversight & Operational Regulation

FINRA

Kris Dailey’s Biography

Peter Tennyson

Director, BDOFR Regulatory Development & Services

FINRA

Peter Tennyson’s Biography

3:00pm – 4:00pm

Panelists will discuss common accounting questions pertaining to 4210, as well as provide insight into how these questions can be resolved.

Panelists will discuss common accounting questions pertaining to 4210, as well as provide insight into how these questions can be resolved.

Participants

Mary Kay Scucci, James Barry, Michael Lyons, Albert Meo

Moderator

Mary Kay Scucci

Managing Director, Dealer Accounting/Capital

SIFMA

Mary Kay Scucci’s Biography

Panelists

James Barry

Executive Director and Global Head of Institutional Securities Margin Solutions

Morgan Stanley

James Barry’s Biography

Michael Lyons

Chief Financial Officer

National Financial Services

Controller

Fidelity Institutional

Michael Lyons’s Biography

Albert Meo

Executive Director

Morgan Stanley

Albert Meo’s Biography

4:00pm – 5:00pm

Panelists will discuss the various legal and MSFTA topics that need to be considered to ensure compliance with the rule by June 25, 2018.

Panelists will discuss the various legal and MSFTA topics that need to be considered to ensure compliance with the rule by June 25, 2018.

Participants

Steven Lofchie, Laura Correa, Michael Huber, Nihal Patel

Moderator

Steven Lofchie

Partner, Head of the Financial Regulatory Group

Cadwalader, Wickersham & Taft LLP

Steven Lofchie’s Biography

Panelists

Laura Correa

Senior Vice President & Counsel

Citigroup

Laura Correa’s Biography

Michael Huber

Managing Director and Associate General Counsel

Goldman, Sachs & Co.

Michael Huber’s Biography

Nihal Patel

Associate, Financial Services Group

Cadwalader, Wickersham & Taft LLP

Nihal Patel’s Biography

5:00pm – 6:00pm

Networking Reception

Venue

SIFMA Conference Center

120 Broadway
Floor 2
New York, NY 10271

View on Google Maps

Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.

With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.

Picture of venue

Hotel Accommodations

If you require hotel accommodation, a special SIFMA rate is available at the following:

Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY  10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852

Club Quarters
52 William Street, New York, NY 10005, Phone# 212-269-6400
DISCOUNT: Password (SIFMA)

Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900
DISCOUNT: Password (SIFMA)

Media

Media Inquiries
Contact Liz Pierce at 212.313.1173.

Media Registration
Contact Emily Reinus at 212.313.1339.

Policy
View SIFMA’s official press policy.

Media Partnerships
Custom media partnership opportunities are available for almost every objective and budget, with benefits including complimentary event passes. Contact Monica Ilyevsky at 212.313.1263.

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.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

Substitutions
Conference registration substitutions are welcome. Email Lizzie Grimm with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.