Rule 606 Working Group
FIF has scheduled the next call for the Rule 606 Working Group for Tuesday July 25 at 2 pm ET. An FIF member will update the Working Group on guidance that the member received from SEC representatives on Rule 606(a) reportin…
Data & Technology Committee
24 July 2023
The Data and Technology Committee will have its next call on Wednesday July 26 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets. The sp…
Reconciliation Process for Section 31 Fees
24 July 2023
FIF has scheduled a call for Thursday July 27 at 10 am ET to discuss enhancing the reconciliation process for Section 31 fees. If you would like to participate in this discussion and have not previously notified FIF of your…
Law Firm Presentation on Recent Financial Risk Rulemaking Initiatives
24 July 2023
On Thursday July 27 at 3 pm ET, Steven Lofchie and Nihal Patel of Fried Frank will present on the following recent SEC and FINRA financial risk rulemaking initiatives: (i) FINRA Seeks Comment on Concept Proposal for a Liquid…
Fractional Share or Fractional Bond Received from a Corporate Action
24 July 2023
FIF has scheduled a call for Monday July 31 at 1 pm ET to discuss processing and reporting for a scenario where a customer receives a fractional share or fractional bond as a result of a corporate action, and the fractional…
Additional CAT Transaction Reporting Call for this Week
17 July 2023
FIF has scheduled a call for the CAT Transaction Reporting Working Group for Monday July 17 at 2 pm ET. This call will be focused on CAT reporting for RFQ responses, including the review of a draft supplemental letter to the…
Retiring TRF Reporting Requirements that are Duplicative of CAT
17 July 2023
FIF has scheduled a call for Tuesday July 18 at 2 pm ET to discuss retiring TRF reporting requirements that are duplicative of CAT (for example, regulatory reports to the TRF). If you would like to participate in this discus…
Back Office Committee; FINRA Trading Activity Fee
17 July 2023
The Back Office Committee will have its next call on Thursday July 20 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. The spotlight topic will be a presentation…
Rule 606 Working Group
17 July 2023
FIF has scheduled the next call for the Rule 606 Working Group for Tuesday July 25 at 2 pm ET. An FIF member will update the Working Group on guidance that the member received from SEC representatives on Rule 606(a) reportin…
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.