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Law Firm Presentation on Recent Financial Risk Rulemaking Initiatives

17 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 Regulatory Notice 23-11, FINRA Seeks Comment o…
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Fractional Share or Fractional Bond Received from a Corporate Action

17 July 2023
An FIF member would like to discuss with other FIF members 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 share o…
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Updated Presentation by FINRA CAT to FIF Members on CAT Reporting for RFQ Responses

10 July 2023
On Monday July 10 at 2 pm ET, FINRA CAT will provide an updated presentation to members of the FIF CAT Transaction Reporting Working Group on CAT reporting for RFQ responses.
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Compliance and Surveillance Working Group

10 July 2023
FIF has scheduled a call for the Compliance and Surveillance Working Group for Tuesday July 11 at 2 pm ET to discuss expanded surveillance by FINRA based on CAT data. FINRA representatives have noted to FIF members that FINR…
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Compliance and Surveillance Working Group

10 July 2023
FIF has scheduled a call for the Compliance and Surveillance Working Group for Tuesday July 11 at 2 pm ET to discuss expanded surveillance by FINRA based on CAT data. FINRA representatives have noted to FIF members that FINR…
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Customer Account Statements

10 July 2023
FIF has scheduled a call for Thursday July 13 at 1 pm ET to discuss the use of “combined statement groups” (sending a single statement to separate account holders for multiple accounts) when the recent FINRA amendments to Ru…
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Retiring TRF Reporting Requirements that are Duplicative of CAT

10 July 2023
An FIF member would like to discuss with other FIF members retiring TRF reporting requirements that are duplicative of CAT (for example, regulatory reports to the TRF). If you would like to participate in this discussion, pl…
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FIF In-Person Event: Hosted by OTC Markets

03 July 2023
FIF held a great event on Thursday at the offices of OTC Markets Group and we would like to thank all of those who came out. The first panel of the evening was “SEC Exchange Act Rule 3b-16- New Exchange Definition…
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CAT Monthly Update Working Group Call

03 July 2023
The FIF CAT Monthly Update Working Group call for July will be on Thursday July 6 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting and C…
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