News

Electronic Recordkeeping

30 October 2023

An FIF member would like to discuss with other members the requirement under SEC Rule 17a-11(c) for a broker-dealer to provide same-day notice to the SEC and FINRA if the firm fails to make and keep current any books and rec…

Save The Date: FIF Year-End Event at Société Générale

30 October 2023

FIF is excited to announce our year-end event will take place on the evening of Tuesday December 5, and it will be sponsored by Société Générale. Those who were at the last Société Générale event back in 2017 know what a gre…

FIF Chicago Event

23 October 2023

FIF is excited to announce our annual Chicago event, sponsored by Cboe Global Markets. After opening remarks from Kevin Carrai of Cboe, there will be two panels, one focusing on regulation and compliance, and the other focus…

FIF Submits Letter on TRACE ATS Exemption and Trading Activity Fee

23 October 2023

On October 16, FIF submitted a letter to FINRA requesting written confirmation that an ATS’s use of the TRACE ATS exemption would not impact which party is responsible for payment of the Trading Activity Fee.

Presentation on SEC Rule on Reporting of Securities Loans

23 October 2023

On Monday October 23 at 2 pm ET, Ignacio Sandoval of the Morgan Lewis law firm will review the SEC’s recent adoption of a rule to require Reporting of Securities Loans. FIF has invited members of the FIF Securities Lending T…

Rule 606 Working Group

23 October 2023

FIF has scheduled the next call for the FIF Rule 606 Working Group for Monday October 23 at 3:30 pm ET. This will be a ½ hour call and will focus on questions submitted by FIF members relating to Rule 606.

Section 31 Reconciliation Process

23 October 2023

FIF has scheduled a call for the CAT Transaction Reporting Working Group for Tuesday October 24 at 10 am to discuss a draft FIF presentation to FINRA requesting that FINRA provide additional data to industry members to assis…

Front Office Committee; Review of Regulatory Reporting Changes for T+1

23 October 2023

The Front Office Committee will have its next call on Tuesday October 24 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges. In addition to the regular age…

Review of Regulatory Reporting Fines for 2022 and 2023

23 October 2023

FIF has scheduled a call for Tuesday October 24 at 2 pm ET to review regulatory reporting fines for 2022 and 2023, including CAT, EBS, LOPR, Rule 605, Rule 606, short interest reporting, swap data reporting, TRACE, trade adv…

Title

Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat.