Spotlight Presentation on SEC Proposed Amendments to Reg ATS and Reg SCI

On Tuesday February 15 at 2 pm ET, Ignacio Sandoval and Kyle Whitehead of the Morgan Lewis law firm will present on the SEC’s recently-proposed amendments to Regulations ATS and Regulation SCI. The amendments propose to apply Regulation ATS and Regulation SCI to ATSs that trade Treasury and agency securities and repos on those securities. The amendments also propose to expand the ATS definition to include RFQ and other trading systems. The invite for this presentation has been sent to the members of the FIF ATS, Compliance and TRACE/Fixed Income Working Groups and the FIF Front Office and Back Office Committees. If you are interested in attending this presentation and do not have the invite in your calendar, please either update your profile or email us at fifinfo@fif.com.

POSTED Feb 14,2022

FIF CAT CAIS Working Group

FIF has scheduled an additional call this week for the FIF CAT CAIS Working Group to review the updated versions of the CAT CAIS Industry Member Reporting Scenarios published by FINRA CAT on January 28, 2021 and February 4, 2022. The call will be on Monday February 14 at 11am ET. This will be in addition to the regularly-scheduled Wednesday and Friday CAIS calls this week.

POSTED Feb 14,2022

FIF TRACE Working Group

The FIF TRACE Working Group will meet on Thursday February 17 at 11am ET to continue its discussion of the rule adopted by the Federal Reserve Board to expand TRACE reporting for Treasury and agency securities to certain depository institutions that are not broker-dealers. The Working Group will continue its review of draft FIF member questions to FINRA relating to implementation of the new reporting requirements

POSTED Feb 14,2022

FIF Rule 606 Working Group

The FIF Rule 606 Working Group will meet on Thursday February 17 at 2pm ET to continue its discussion of the draft interchange report to facilitate Rule 606(a) options look-through reporting. The Working Group also will discuss the FINRA proposal to require reporting for routes in OTC equities and review a recent filing by the SEC with the Office of Management and Budget (OMB) that estimates the annual costs to the industry for Rule 606 compliance.

POSTED Feb 14,2022

Spotlight Presentation for FIF Back Office Committee

The FIF Back Office Committee will meet on Tuesday February 15 at 11am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. The spotlight presenter for the meeting will be Patrick Barthel of DTCC, who will discuss DTC’s new automated process for submitting instructions for voluntary corporate actions in ISO 20022 format.

POSTED Feb 14,2022

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