Rule 606 Working Group: Call with FINRA on Implementation of FINRA Rule 6151

On Monday March 18 at 3 pm ET, FINRA is hosting a call for FIF members. The call will provide a forum for a discussion of Rule 6151 recently adopted by FINRA, which requires industry members to submit their Rule 606(a) reports to FINRA. FINRA will have representatives from its Office of General Counsel and its Market Regulation and Technology groups participating on the call. FIF has forwarded the invitation for the call to all FIF Rule 606 Working Group members. For additional detail about the implementation of Rule 6151, please refer to FINRA Regulatory Notice 24-05.

POSTED Mar 18,2024

Back Office Committee

The Back Office Committee will have its next call on Tuesday March 19 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.

POSTED Mar 18,2024

Additional Call this Week for the CAT Transaction Reporting Working Group

FIF has scheduled an additional call this week for the CAT Transaction Reporting Working Group. This call will be on Thursday March 21 at 2 pm ET and will be in addition to the regularly-scheduled CAT Transaction Reporting Working Group call on Wednesday March 20 at 2 pm ET. During the Wednesday call, the Working Group will review and discuss draft FIF exemption requests relating to representative order linkage and reporting of port settings. The Thursday call will focus on other issues, including CAT billing, CAT reporting for RFQ responses that are not immediately actionable, reporting of handling instructions for auctions, and issues and questions from FIF members.

POSTED Mar 18,2024

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