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FIF CAT Monthly Update Working Group Call

29 January 2024
The FIF CAT Monthly Update Working Group call for February will be on Thursday February 1 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporti…
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Review of Current SEC and FINRA Rulemaking Initiatives

29 January 2024
On January 11 FIF hosted a call to review a digest of rules recently adopted or proposed by the SEC and FINRA. FIF has scheduled a call for Thursday February 1 at 3 pm ET to continue this review. The January 11 call focused…
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Tax Information Reporting Working Group

29 January 2024
The next call for the FIF Tax Information Reporting Working Group will be on Thursday February 8 at 3 pm ET. Representatives from Wolters Kluwer will discuss tax considerations for trading Bitcoin ETFs.
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SEC and FINRA Examination Requests Relating to NextBridge Hydrocarbons and Meta Materials

29 January 2024
During the week of January 22, 2024, an FIF member received document requests from the SEC and FINRA examination groups relating to the NextBridge Hydrocarbons and Meta Materials reorganization. The FIF member is interested…
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Additional CAT Transaction Reporting Call for this Week

22 January 2024
FIF has scheduled an additional call for the CAT Transaction Reporting Working Group for this week. The call will be on Monday January 22 at 2 pm ET and will focus on CAT reconciliation and billing. This will be in addition…
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Front Office Committee

22 January 2024
The Front Office Committee will have its next call on Tuesday January 23 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.
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Digital Assets Working Group

22 January 2024
FIF has scheduled the next call for the Digital Assets Working Group for Wednesday January 24 at 3 pm ET. The Working Group will discuss disclosure requirements for digital assets, including SEC Rule 15c2-11. Time permitting…
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T+1 and Trade-Date Allocations Subgroup

22 January 2024
FIF has scheduled a call for the T+1 and Trade-Date Allocations subgroup for Thursday January 25 at 11 am ET. The subgroup will discuss issues and questions from FIF members relating to implementation of the requirements for…
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AML and Sanctions

22 January 2024
On Monday January 29 at 2 pm ET, Satish Kini and Robert Dura of the Debevoise law firm will review 2023 developments relating to anti-money laundering and sanctions regulations and key issues to focus on for 2024. FIF has in…
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