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Regularly-Scheduled CAT Transaction Reporting and CAIS Calls Cancelled for this Week

03 July 2023
Because of the July 4 holiday, FIF has cancelled the regularly scheduled CAT Transaction Reporting and CAT CAIS calls for this week. The next regulatory-scheduled calls for these Working Groups will be on Wednesday July 12.
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Section 31 Fee Collection Process

03 July 2023
FIF has scheduled a call for Thursday July 6 at 1 pm ET to discuss: requesting that FINRA provide additional transparency to assist industry members in reconciling Section 31 fees; and potential changes to address inefficien…
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Updated Presentation by FINRA CAT to FIF Members on CAT Reporting for RFQ Responses

03 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

03 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

03 July 2023
FIF has scheduled a call for Thursday July 13 at 2 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

03 July 2023
A 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, ple…
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FIF In-Person Event: Hosted by OTC Markets

26 June 2023
On Thursday June 29 at 5 pm, FIF will hold an in-person event at the offices of OTC Markets (300 Vesey Street, New York, NY 10282). There will be two panels. The first panel will discuss “SEC Exchange Act Rule 3b-16: New Exc…
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FIF Submits Supplemental Comment Letter to the SEC on Rule 605

26 June 2023
On June 22, FIF submitted a supplemental comment letter to the SEC on the SEC’s rule proposal on Disclosure of Order Execution Information. FIF would like to thank the members of the FIF Rule 605 Working Group for their…
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Customer Account Statements

26 June 2023
An FIF member would like to discuss with other FIF members the use of “combined statement groups” (sending a single statement to separate account holders for multiple accounts) when the recent FINRA amendments to Rule 2231 (…
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