Overview

Explore the impact of the COVID-19 pandemic on the industry and regulation.

Hosted by the SIFMA Financial Management Society (SIFMA FMS), KPMG’s Daniel McIsaac moderated a webinar discussion on upcoming SEC, CFTC and FINRA regulatory initiatives; current regulatory issues and concerns; and how the regulators are faring in this new environment.

Regulations addressed during this webinar include:

  • SEC Financial Responsibility Rules for Broker Dealers: 15c3-1, 15c3-3, 17a-5 and 17a-13
  • SEC Security Based Swap Dealer Capital, Margin and Segregation Rules
  • CFTC Capital Rules for Swap Dealers and Security Based Swap Dealers, including the extension of the Phase V initial swap margin compliance deadline
  • FINRA Rule 4210 on Margin Requirements, and 4522 on Financial Responsibility and Operational Rules
  • And more

Replay Now Available – New Registrants Register Below

Featured Speakers

  • Michael A. Macchiaroli, Associate Director, Division of Trading and Markets, SEC
  • Daniel T. McIsaac, Director, Advisory Practice, KPMG LLP (Moderator)
  • Thomas J. Smith, Deputy Director, Division of Swap Dealer and Intermediary Oversight, CFTC
  • Bill Wollman, Executive Vice President, Head of Office of Financial & Operational Risk Policy, FINRA
SIFMA Webinar Series

Regulator Forum with the SEC, CFTC and FINRA

Date

June 19, 2020

Location

Virtual

Hosted by

SIFMA Financial Management Society

Overview

Explore the impact of the COVID-19 pandemic on the industry and regulation.

Hosted by the SIFMA Financial Management Society (SIFMA FMS), KPMG’s Daniel McIsaac moderated a webinar discussion on upcoming SEC, CFTC and FINRA regulatory initiatives; current regulatory issues and concerns; and how the regulators are faring in this new environment.

Regulations addressed during this webinar include:

  • SEC Financial Responsibility Rules for Broker Dealers: 15c3-1, 15c3-3, 17a-5 and 17a-13
  • SEC Security Based Swap Dealer Capital, Margin and Segregation Rules
  • CFTC Capital Rules for Swap Dealers and Security Based Swap Dealers, including the extension of the Phase V initial swap margin compliance deadline
  • FINRA Rule 4210 on Margin Requirements, and 4522 on Financial Responsibility and Operational Rules
  • And more

Replay Now Available – New Registrants Register Below

Featured Speakers

  • Michael A. Macchiaroli, Associate Director, Division of Trading and Markets, SEC
  • Daniel T. McIsaac, Director, Advisory Practice, KPMG LLP (Moderator)
  • Thomas J. Smith, Deputy Director, Division of Swap Dealer and Intermediary Oversight, CFTC
  • Bill Wollman, Executive Vice President, Head of Office of Financial & Operational Risk Policy, FINRA

Media

Media Inquiries and Registration
Contact Evan Grogan at 212.313.1134

Policy
View SIFMA’s official webinar press policy.

Accreditation

Live webinar attendees will be eligible for 1.5 CPE credits.

Attendees will learn the latest information and updates regarding some of the SEC, CFTC and FINRA rules and requirements in the current COVID-19 environment.

Field of Study: Finance
Program Level: Intermediate
Delivery Method: Group Internet
Advance Preparation: None

 CPE

CEU Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

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.

 

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.