Presentation to FINRA’s Market Regulation Staff

November 7, 2011
New York, New York

On November 7, Mr. Raisler and Mr. Kadel gave a presentation to FINRA’s market regulation staff in New York (and in remote locations via WebEx) about Title VII of the Dodd-Frank Act and derivatives reform, including a discussion of the definition of swaps and security-based swaps, swap dealers and securities-based swap dealers, and swap execution facilities and security-based swap execution facilities.