FIF x FINRA CAT Q&A
FIF is collecting questions on the CAT Technical Specification and Scenarios document for including in subsequent FINRA CAT – sponsored Q&A sessions. If you would like to submit questions on behalf of your fi…
FIF SEC Rule 606 Follow-Up Comment Letter
29 July 2019
FIF is in the process of completing a comment letter to Commission Staff on the current status and recommendations pertaining to the implementation of SEC Rule 606. If you are not part of this working group and are intereste…
FINRA to Join Front Office Committee Meeting
22 July 2019
FINRA will be joining the FIF Front Office Committee on Tuesday, July 23 @ 4:00pm to provide a spotlight topic on the recently published joint SEC/FINRA statement on Broker-Dealer custody of digital asset securities. I…
FIF Submits Comment Letter on EBS to SEC
22 July 2019
On July 17, 2019, FIF submitted a comment letter to the Securities and Exchange Commission responding to the Commission’s request for comment on the current EBS request/response process. FIF’s comments focu…
FIF Discuss Potential Solutions to LTD Phase 3 and Rule 606 with SEC
15 July 2019
On Wednesday, July 10, FIF joined SIFMA at a meeting with SEC Staff to discuss potential solutions to Large Trade Phase 3 through the CAT Customer/Account information database. Additionally, FIF met with SEC Division of…
NEW MEMBER FIRM: HSBC
15 July 2019
FIF is pleased to announce that HSBC has joined the FIF Community.
NEW MEMBER FIRM: XTX Markets LLC
15 July 2019
FIF welcomes XTX Markets LLC as new members of the FIF Community.
FIF Sponsors CAT Cost Survey
08 July 2019
FIF has initiated a CAT Cost Survey designed to provide FIF member firms with a general view of the current/future costs (and potential cost savings) required to implement the CAT. The intent of this survey is to provi…
FIF Travels to SEC to Discuss LTR Phase 3
08 July 2019
Representatives from FIF will be heading to Washington D.C. on Wednesday to meet with SEC staff on LTR Phase 3. Follow-up items from this discussion will be covered during Thursday's FIF CAT Working Group call.
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