Swap Dealer Registration and Compliance Working Session

17 Apr 2012 08:00 a.m. - 10:00 a.m.

Morrison & Foerster LLP
1290 Avenue of the Americas
39th Floor
New York, NY 10104
(212) 336-4048

Please join Morrison & Foerster LLP and The Regulatory Fundamentals Group LLC for a working session to review the process for swap dealer registration, with a focus on the compliance policies and procedures that will be required in connection with registration. We will discuss business conduct standards, anti-manipulation and other related matters.


  • David Kaufman, Morrison & Foerster LLP 
  • Deborah Prutzman, The Regulatory Fundamentals Group LLC
  • Sherri Venokur, The Regulatory Fundamentals Group LLC

CLE credit is pending.




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