On December 7, 2021, FIF submitted to FINRA additional requests from FIF members for interpretive guidance relating to the Supplemental Liquidity Schedule (SLS) recently adopted by FINRA (see FINRA Regulatory Notice 21-31). The SLS takes effect on March 1, 2022. If you are interested in participating in discussions with other FIF members on this topic, please send a note to fifinfo@fif.com.
POSTED Dec 13,2021
Last week FIF held it's annual Year-End CAT Webinar. FIF Advisory Chair, Tom Jordan, moderated a strong panel where we took a look back to the retirement of OATS, important accomplishments in CAT for 2021 and we looked ahead to the major CAT initiatives of 2022 and beyond. Panelists included Shelly Bohlin of FINRA CAT, Jon Kroeper of FINRA, Will Leahey of Refinitiv and Mitvin Shah of Societe Generale. If you are a FIF Member and you missed the webinar, you may request a recording at fifinfo@fif.com.
POSTED Dec 13,2021
FIF has scheduled the Annual FIF CAT Webinar for Thursday December 9 at 4pm ET. The panel participants are Shelly Bohlin of FINRA CAT, Jon Kroeper of FINRA, Will Leahey of Refinitiv, and Mitvin Shah of Société Générale. Tom Jordan of Jordan & Jordan will act as the moderator in this discussion. To attend this webinar, please register here. If you have any questions, please email us at fifinfo@fif.com.
POSTED Dec 06,2021
On December 2, 2021, FIF submitted a comment letter in response to FINRA Regulatory Notice 21-35, “FINRA Requests Comment on Proposed Order Routing Disclosure Requirements for OTC Equity Securities and Potential Steps to Facilitate Investor Access to Current Order Routing Disclosures for NMS Securities”.
POSTED Dec 06,2021
FIF has set up a new Securities Lending Transparency Working Group. This Working Group will discuss and prepare a comment letter on the SEC’s November 18 rule proposal to create a new reporting system for securities lending. The reporting system, as proposed by the SEC, will apply to equities and bonds, including corporates, Treasuries, Agencies, asset and mortgage-backed securities, and municipal bonds. The next meeting for this Working Group is scheduled for Thursday December 16 at 11am ET. To subscribe to this group, please either update your profile or email us at fifinfo@fif.com.
POSTED Dec 06,2021
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