Rule 606 Working Group
The FIF Rule 606 Working Group will meet on Tuesday, January 4 at 11am ET to discuss recent feedback from the SEC staff relating to Rule 606 reporting for options.
Spotlight Presentation on Securities Lending Transparency
03 January 2022
On Monday January 10 at 3pm ET, Ignacio Sandoval of the Morgan Lewis law firm will present a buy-side perspective on the SEC’s recent Securities Lending Transaction rule proposal. The invite for this presentation has been se…
Spotlight Presentation on FinCEN rule proposal to create a beneficial ownership registry
03 January 2022
Satish Kini of the Debevoise law firm will review the recent proposal by FinCEN to create a beneficial ownership registry (date and time of presentation to be determined). The invite for this presentation will be sent to the…
Spotlight Presentation on the SEC’s recent Electronic Recordkeeping Rule Proposal
03 January 2022
On Thursday January 20 at 10am ET, Ignacio Sandoval and Kyle Whitehead of the Morgan Lewis law firm will provide an overview of the SEC’s recent rule proposal relating to electronic recordkeeping. The invite for this present…
CAIS Survey
03 January 2022
On December 15, FIF and the FIF CAIS Co-Chairs participated on a call with representatives from the SEC and the CAT Operating Committee to discuss CAT CAIS reporting issues. During the call, the SEC staff requested that FIF…
CAT and CAIS Updates
03 January 2022
As of January 1, 2022, the CAT Committee will be renamed as the CAT Monthly Update Working Group and the CAT Tech Specs Working Group will be renamed as the CAT Transaction Reporting Working Group. This is intended to provid…
FIF Submits Comment Letter on FINRA’s Proposed Changes to TRACE
27 December 2021
On December 23, 2021, FIF submitted a comment letter on a rule filing submitted by FINRA to the SEC (SR-FINRA-2021-030) to require firms to report new modifiers for delayed Treasury spot trades and portfolio trades that are…
FIF Securities Lending Transparency Working Group
27 December 2021
The next meeting for the new FIF Securities Lending Transparency Working Group is scheduled for Tuesday January 4 at 2 pm ET. This Working Group will discuss and prepare a comment letter on the SEC’s November 18 rule proposa…
Santa Rosa Bay Bridge Authority (Florida) Revenue Bonds
27 December 2021
A FIF member would like to discuss with other FIF members issues relating to the computation of the factor (remaining principal) for the Santa Rosa Bay Bridge Authority (Florida) Revenue Bonds, Series 1996. This is specifica…
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