News

Compliance with FINRA Clock Synch Requirements for the Cloud (Including for CAT)

04 December 2023

An FIF member would like to discuss with other FIF members compliance with FINRA clock synchronization requirements for trading systems in the cloud (including FINRA clock synch requirements applicable for CAT). If you would…

FIF Year-End Event at Société Générale

27 November 2023

FIF is excited to announce our 2023 Year-End Holiday Event, sponsored by Societe Generale. After opening remarks from Greg Zielinski, Chief Operating Officer (COO) of Société Générale Americas, there will be two panels, with…

Clock Synchronization Requirements for Debt Securities

27 November 2023

FIF has scheduled a follow-up call for Tuesday November 28 at 10:30 am to continue last week’s discussion of implementing clock synchronization requirements for debt securities based on FINRA Rule 4590, Supplementary Materia…

Additional CAT Transaction Reporting Working Group Call for this Week

27 November 2023

FIF has scheduled an additional call this week for the CAT Transaction Reporting Working Group. The call will be on Tuesday November 28 at 2 pm ET and will focus on whether the CAT system can filter invoices for a CAT report…

Tax Information Reporting Working Group

27 November 2023

FIF has scheduled the next call for the FIF Tax Information Reporting Working Group for Tuesday November 28 at 3 pm ET. Stevie Conlon of Wolters Kluwer will discuss the recent IRS regulations for crypto. FIF also has invited…

Data & Technology Committee

27 November 2023

The Data and Technology Committee will have its next call on Wednesday November 29 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets. Th…

FINRA CAT Webinar on CAIS Releases; FIF CAIS Call Moved to Thursday for this Week

27 November 2023

On Wednesday November 29 at 4:15 pm ET, FINRA CAT will host a webinar titled “Part 1: CAIS Releases”. Because of the webinar, FIF has moved the FIF CAIS Working Group call for this week to Thursday November 30 at 2pm ET.

Guidance from the SEC and FINRA on Fully-Paid Lending

27 November 2023

An FIF member would like to discuss with other members guidance from the SEC and FINRA on fully-paid lending from an omnibus account. If you would like to participate in this discussion, please send a note to This email…

FIF Submits Letter to the SEC on the Implementation of CAT Billing

27 November 2023

On November 22, FIF submitted a letter to the SEC on the implementation of CAT billing.

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