10 July, 2023
Working Group Update 7/10/2023
10 July, 2023
- FIF CAT Monthly Update Working Group. The CAT Monthly Update Working Group reviewed guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting and CAT CAIS reporting 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 and CAT CAIS reporting.
- Section 31 Fee Collection Process. FIF hosted a call to discuss requesting that FINRA provide additional transparency to assist industry members in reconciling Section 31 fees and potential changes to address inefficiencies in the current collection process for Section 31 fees.
Eduard Kotlyar