The next call for the CAT CAIS Working Group will be on Wednesday May 1 at 11 am ET. The next call for the CAT Transaction Reporting Working Group will be on Wednesday May 1 at 2 pm ET.

The FIF CAT Monthly Update Working Group call for May will be on Thursday May 2 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting, CAT CAIS and CAT billing reporting during the prior month. The Working Group will also review the current areas of focus for FIF members and the current open issues for CAT Transaction Reporting, CAT CAIS reporting and CAT billing.

FIF has scheduled a call for the ATS Working Group for Tuesday May 7 at 11 am ET. The agenda for the call will be to review questions from an FIF member relating to Form ATS-R. This will be a half-hour call.

At the request of FIF members, FIF is planning to schedule a call on CAIS reporting by firms that clear for third-party correspondent firms. The call will focus on the CAIS reporting scenario where two clearing firms report for the same correspondent firm and there is a material inconsistency. If you would like to participate on this call, please send a note to fifinfo@fif.com.

On Monday May 6^th, FIF will hold an in-person event at the offices of OTC Markets (300 Vesey Street, New York, NY 10282). There will be two panels. Our first panel of the evening will be “Digital Assets - Regulations, Processing & Technology”. The panel will cover public & private securities from issuance to trading and settlement and custody. On the panel will be Shawn Sloves of Fundamental Interactions, Tom Sullivan of Société Générale and Dan Zinn of OTC Markets. The panel will be moderated by FIF Advisory Chair, Tom Jordan. The second panel is on “Current Regulatory Implementation Challenges” and will include a discussion of SEC Rule 605, FINRA Rule 6151 (Rule 606 filings with FINRA), SEC Rule 13f-2 (short position reporting), CAT, and fractional shares on the TRF. On the panel will be David Emero of n-Tier fs, Thomas Hochleutner of Clear Street, Alex Raisch of SMBC Nikko and Jacki VanMoer of Goldman Sachs. The panel will be moderated by FIF Managing Director, Howard Meyerson.   

Registration in the lobby begins at 4:15 pm. The speaking engagement will be from 5-6:30 pm with refreshments and networking afterwards from 6:30-8 pm. Please note the event capacity is 120; once capacity is reached, we will form a waiting list for the event. FIF would like to thank OTC Markets for sponsoring this event. FIF Members may register for free here. If you have any questions, you may contact the program office at fifinfo@fif.com.