08 January, 2024
Working Group Update 1/8/2024
08 January, 2024
- FIF CAT Monthly Update Working Group. The Working Group reviewed guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting, CAT CAIS and CAT billing during the prior month. The Working Group reviewed the current areas of focus for FIF members and the current open issues for CAT Transaction Reporting, CAT CAIS reporting and CAT billing.
- FIF CAIS Working Group. The CAIS Working Group discussed the unavailability of the CAIS system from January 5 to January 8. The Working Group continued its review of the December 21 updates to the CAIS Technical Specifications.
- FIF CAT Transaction Reporting Working Group. The CAT Transaction Reporting Working Group discussed feedback from FIF members on reconciliation of the sample CAT bills for November 2023 for exchange and non-exchange executions. The Working Group discussed the recent FINRA rule filings relating to collection of CAT fees. The Working Group continued its review of the November 30 updates to the CAT Technical Specifications.
Eduard Kotlyar