Back Office Committee
The Back Office Committee will have its next call on Tuesday October 17 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
Presentation on SEC Rule on Reporting of Securities Loans
16 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
16 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
Review of Regulatory Reporting Fines
16 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…
SEC Open Meeting on Volume-Based Exchange Transaction Pricing for NMS Stocks
16 October 2023
The SEC has scheduled an open meeting for Wednesday October 18 at 10 am ET on Volume-Based Exchange Transaction Pricing for NMS Stocks. According to the agenda published by the SEC, the SEC “will consider whether to propose…
FIF Chicago Event
09 October 2023
FIF is excited to partner once again with Cboe Global Markets on our Annual FIF Chicago Event. After opening remarks from Catherine Clay, there will be two panels, one focusing on regulation and compliance, and the other foc…
Save The Date: FIF Year-End Event at Société Générale
09 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…
Reg ATS and Reg SCI Market Share Threshold Calculations
09 October 2023
FIF has scheduled a call for Tuesday October 10 at 11 am to discuss questions from an FIF member on how a firm should calculate its market share for determining whether it has exceeded specific market share thresholds set fo…
Revised Schedule for FIF CAT Calls for this Week
09 October 2023
The FIF CAT Transaction Reporting Working Group call for this week will be on Tuesday October 10 at 1:30 pm ET. FIF will not have a CAIS call this week.
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