Section 31 Subgroup
FIF has scheduled a call for the Section 31 subgroup for Tuesday January 16 at 3 pm ET. The subgroup will discuss next steps after the recent FIF member call with FINRA representatives to discuss enhancing the reconciliation…
Digital Assets Working Group
08 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 compliance with disclosure requirements for digital assets, including SEC Rule 15c2-11…
AML and Sanctions
08 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…
T+1/Trade Date Allocations Subgroup
08 January 2024
At the request of FIF members, FIF has created a subgroup for members to discuss issues relating to T+1 implementation, including the new requirements relating to same-day allocations. If you are interested in participating…
FIF CAT Monthly Update Working Group Call
02 January 2024
The FIF CAT Monthly Update Working Group call for January will be on Thursday January 4 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting…
Additional CAT Transaction Reporting Call for January 8
02 January 2024
FIF has scheduled an additional call for the CAT Transaction Reporting Working Group for Monday January 8 at 2 pm ET to review a revised draft FIF letter to the SEC on the requirement for a routing firm to report to CAT sett…
SEC Rule on Centralized Clearing of Treasuries
02 January 2024
On Tuesday January 9 at 3 pm ET, Penny Christophorou and Ignacio Sandoval of the Morgan Lewis law firm will review the rule recently adopted by the SEC to expand centralized clearing of Treasuries. FIF has invited members of…
Review of Current SEC and FINRA Regulatory Initiatives
02 January 2024
FIF has scheduled a call for Thursday January 11 at 3 pm ET to review a digest of rules recently adopted or proposed by the SEC or FINRA. The rules are organized based on the following areas: Technology, Operations and Finan…
Section 31 Subgroup
02 January 2024
FIF has scheduled a call for the Section 31 subgroup for Tuesday January 16 at 3 pm ET. The subgroup will discuss next steps after the recent FIF member call with FINRA representatives to discuss enhancing the reconciliation…
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