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Spotlight Presentation on T+1 Settlement

16 May 2022
On Tuesday, May 24, 2022 at 2 pm ET, attorneys from the Willkie Farr law firm will review the SEC’s T+1 rule proposal and discuss material issues raised by market participants in their comment letters on the rule proposal. F…
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SEC Rule 15c2-11 for Fixed Income

16 May 2022
On Thursday, May 26, 2022 at 11 am ET, FIF will host a call focused on implementation challenges firms are facing as a result of the SEC’s application of Rule 15c2-11 to fixed income securities. To lead off the discussion, J…
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TRACE Working Group call

09 May 2022
The FIF TRACE Working Group will meet on Thursday May 12 at 3 pm to review new FAQs published by FINRA relating to TRACE reporting by covered depository institutions. The Working Group also will review guidance provided by t…
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Additional CAT CAIS Working Group Call

09 May 2022
FIF has scheduled an additional CAT CAIS Working Group call for this week to review the May 4 and May 5, 2022 updates to the CAIS Technical Specifications and to continue the review of the updates to the CAIS Reporting Scena…
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Compliance Working Group Call Focused on Trade Surveillance

09 May 2022
At the request of several FIF member firms, FIF has scheduled a call for the Compliance Working Group that will focus on trade surveillance issues. FIF has scheduled this call for Tuesday May 17, 2022 at 2 pm ET. If you woul…
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FIF Submits Comment Letter on SEC Buy to Cover Proposal

02 May 2022
On April 25, 2022, FIF submitted a comment letter on the SEC’s proposal to mandate a new buy to cover order marker for all buy orders. FIF would like to thank the members of the FIF Short Sales/Reg SHO/Short Interest Reporti…
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Additional CAT CAIS Working Group Call

02 May 2022
FIF has scheduled an additional CAT CAIS Working Group call for this week to focus on the updates to the CAIS Reporting Scenarios posted by FINRA CAT on April 22, 2022. This call is scheduled for Monday May 2, 2022 at 11 am…
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CAT Monthly Update Working Group Call

02 May 2022
The CAT Monthly Update Working Group will meet on Thursday May 5, 2022 at 2 pm ET to review guidance and updates from the SROs and FINRA CAT on CAT transaction reporting and CAT CAIS reporting during the prior month. The Wor…
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Compliance Working Group Call Focused on Trade Surveillance

02 May 2022
At the request of several FIF member firms, FIF has scheduled a call for the Compliance Working Group that will focus on trade surveillance issues. FIF has scheduled this call for Tuesday May 17, 2022 at 2 pm ET. If you woul…
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