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Monthly CAT Committee Meeting

29 November 2021
The next monthly FIF CAT Committee call is scheduled for Thursday December 2 at 2pm ET. The CAT Committee will review guidance and updates from the SROs during the prior month, current areas of focus for FIF members, and the…
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Presentation by CISA (Cybersecurity and Infrastructure Security Agency) to Cybersecurity and Compliance Working Groups

29 November 2021
On Wednesday December 15 at 10am ET, Alaina R. Clark, Assistant Director for Stakeholder Engagement at the Cybersecurity and Infrastructure Security Agency (CISA), will present to a joint call of the FIF Cybersecurity and Co…
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FIF/FISD Holiday Party

29 November 2021
Please join us December 7 from 5:30-8:30pm ET for an in-person joint Holiday Party of FIF and FISD Members. This event will be strictly social and there will be no FIF panel discussion, therefore, there will be a $50 charge…
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FIF Annual CAT Webinar

22 November 2021
FIF has scheduled its annual FIF CAT webinar for Thursday, December 7 at 4pm ET. Panel participants include Shelly Bohlin of FINRA CAT, Jon Kroeper of FINRA, Will Leahey of Refinitiv, and Mitvin Shah of Société Générale. In…
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New FIF Working Group: Securities Lending Transparency

22 November 2021
FIF has created a new working group called the Securities Lending Transparency Working Group. This group will discuss and prepare a comment letter on the SEC’s November 18 rule proposal to create a new reporting system for s…
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Rule 606 Working Group

22 November 2021
The Rule 606 Working Group will meet on Tuesday, November 23 at 11am ET to continue its discussion of a draft comment letter on FINRA Regulatory Notice 21-35, “FINRA Requests Comment on Proposed Order Routing Disclosure Requ…
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FINRA Supplemental Liquidity Schedule (SLS)

22 November 2021
FIF has scheduled a call for Wednesday, November 24 at 1:30pm ET to discuss FIF member questions relating to the Supplemental Liquidity Schedule (SLS) recently adopted by FINRA (see FINRA Regulatory Notice 21-31). The SLS ta…
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TRACE Working Group: FINRA Filing to Amend TRACE Reporting for ATS Trades

22 November 2021
On October 15, 2021, FINRA filed SR-FINRA-2021-029 with the SEC, “Proposed Rule Change to Amend FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)”. FIF has…
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Presentation by CISA (Cybersecurity and Infrastructure Security Agency) to Cybersecurity and Compliance Working Groups

22 November 2021
On Wednesday, December 15 at 10am ET Alaina R. Clark, Assistant Director for Stakeholder Engagement at the Cybersecurity and Infrastructure Security Agency (CISA), will present to a joint call of the FIF Cybersecurity and Co…
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