Regulation Overview, Coverage of Proposed Rule 615, Exceptions from the Order Competition Requirements, Qualified Auction Requirements, Example of Segmented Order Trade Execution Workflow.

Overview and Requirements Summary, Tailoring of Policies and Procedures by Order & Security Type, Rule 1101(a), 1101(b), 1101(c), Rule 1101(d), Examples of potential liquidity sources and reasonably accessible information.

Overview and Requirements Summary, Differences Between SEC 10c-1 and ESMA/FCA SFTR, Regulatory timelines, Real-Time Reporting of Individual Transactions, End of Day Reporting of Aggregate Security Information, Illustration of When to Report Aggregate Information.

Overview, Regulatory Reporting Go-Live Dates, Adoption Rates of CPMI-IOSCOs CDEs, Other Notable Changes in Rewrites: CFTC, CSA, EMIR, JFSA, ASIC and MAS.

Overview, Eligible Transactions – Covered Agency Transactions, Margin Requirements, TBA Transaction Example: Mark to Market Loss Not Exceeding MTA Exception, Mark to Market Loss Exceeding MTA Exception, Uncollected Margin by COB Next Business Date, Uncollected Margin by 5th Consecutive Business Date.

Overview, Key Changes to Reporting Standards, EMIR Refit Regulatory Timelines, EMIR Refit Implementation Timeline

SEC has released an update on T+1 which will shorten the process for settling securities transactions from two business days to one. The final rule benefits investors and reduces the credit, market, and liquidity risk in securities transactions.