Counting Down To The New Swap Rules for Broker-Dealers

28 May 2020 - 28 May 2020
Date
28 May 2020
Venue
Webinar
Company

Time: 12 PM ET / 9 AM PT

Panelists:

 

Bill Wollman, EVP – Risk Oversight and Operational Regulation at FINRA

Mike Jamroz, Retired Partner/Senior Advisor at Deloitte & Touche LLP

Bruce Runciman, Executive Director and U.S. Regulatory Reporting Solutions Subject Matter Expert at 

AxiomSL

 

Moderator:

 

Rochelle Pullman, Executive Director, Broker Dealer Subject Matter Expert at 

AxiomSL

 

 

Join 

AxiomSL and a panel of industry-leading experts as we peel back the impacts of the newly finalized Securities Based Swaps Rules. After nearly 9 years, the SEC has finalized a sweeping set of changes to the way capital, margin and books and records are calculated and reported for Securities Based Swaps. The implications of these new regulations extend into many other asset classes as well, as Swaps are frequently used to hedge fixed income, ETFs, futures and others.