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FIF CAT Transaction Reporting Working Group

07 March 2022
For this week, FIF has scheduled an additional call for the CAT Transaction Reporting Working Group. The call will be on Monday March 7 at 2 pm and will focus specifically on the issue of linkage of representative and custom…
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Spotlight Presentation on SEC Proposed Amendments to Reg ATS and Reg SCI: Part 2

28 February 2022
On Tuesday March 1 at 11am ET, Ignacio Sandoval and Kyle Whitehead of the Morgan Lewis law firm will continue their review of the SEC’s recently-proposed amendments to Regulations ATS and Regulation SCI. The amendments propo…
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FIF Rule 606 Working Group

28 February 2022
The FIF Rule 606 Working Group will meet on Tuesday March 1 at 2pm ET to continue its review of a draft FIF comment letter in response to a recent solicitation by the SEC of comments on the request submitted by the SEC to th…
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FIF Securities Lending Transparency Working Group

28 February 2022
The FIF Securities Lending Transparency Working Group will meet on Thursday March 3 at 11am ET to discuss a request from attorneys in SEC Chair Gensler’s office to engage in discussions with FIF members relating to securitie…
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FIF Cybersecurity Working Group

28 February 2022
FIF will hold a 30 minute Cybersecurity Working Group meeting this Thursday (3/3 @ 3pm ET) to cover topics such as: state-sponsored cybersecurity threats from Russia, the 2022 report on FINRA's examination and risk monitorin…
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CAT Working Group Scheduling Changes for this Week

28 February 2022
FIF has scheduled an additional CAIS Working Group call for Monday February 28 at 11am ET to complete the Working Group’s review of the updated versions of the CAT CAIS Industry Member Reporting Scenarios published by FINRA…
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Webinar on Current Developments in Trading Technology

28 February 2022
On Monday March 7, 2022 at 4pm ET, FIF will host a webinar on Current Developments in Trading Technology. The webinar will include discussion of the following topics: converting voice communications to structured electronic…
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Spotlight Presentation on Chief Compliance Officer Liability

28 February 2022
On Thursday March 10, 2022 at 3pm ET, FIF will host a spotlight presentation on Chief Compliance Officer liability. Patrick Campbell of the Baker Hostetler law firm, Adam Felsenthal, General Counsel of Great Point Partners…
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Spotlight Presentation for FIF Front Office Committee

22 February 2022
The FIF Front Office Committee will meet on Tuesday February 22 at 11am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges. The spotlight presenter for the meeting…
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