FINRA Rule 4210 Implementation

On July 26, SIFMA will host an in-person Securitization Spotlight Session on FINRA Rule 4210 at its Conference Center in NYC. Rule 4210 will establish margin requirements for transactions in the To-Be-Announced (TBA) market and other agency MBS mortgage markets. The program will cover key areas of implementation.

Cadwalader partner Steven Lofchie will lead a panel discussion on “Implementing FINRA Rule 4210”, which will note that the rule goes beyond existing recommendation from the Treasury Market Practices Group, and will apply to all FINRA member broker-dealers. The panel will provide an overview on the rule as well as share perspectives (legal and operational) on the potential outcome for firms and market implications of the revised rule. Panelists include:

 MODERATOR:  Steven Lofchie, Partner, Cadwalader, Wickersham & Taft LLP 


 James Barry, Executive Director, ISG Product Operations, Morgan Stanley

 Donald Caiazza, Senior Legal Counsel, Fidelity Investments

 Wade Dougherty, Vice President, Associate General Counsel (Sales and Trading), Goldman, Sachs & Co.

 Nihal Patel, Associate, Cadwalader, Wickersham & Taft LLP



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