FIF Chicago Event
FIF is excited to announce our annual Chicago event, sponsored by Cboe Global Markets. After opening remarks from Catherine Clay, there will be two panels, one focusing on regulation and compliance, and the other focusing on…
Save The Date: FIF Year-End Event at Société Générale
16 October 2023
FIF is excited to announce our year-end event will take place on the evening of Tuesday December 5, and it will be sponsored by Société Générale. Those who were at the last Société Générale event back in 2017 know what a gre…
FIF Submits Letter on CAT Billing Process
16 October 2023
On October 10 FIF submitted a letter to the CAT Plan Participants and FINRA CAT on the CAT billing process.
Next Bridge Form S-1 Filing
16 October 2023
FIF has scheduled the next call for the Next Bridge sub-group for Monday October 16 at 1 pm ET. The agenda for the call will be to discuss next steps after the October 10 FIF member call with SEC representatives. The Form S-…
Back Office Committee
16 October 2023
The Back Office Committee will have its next call on Tuesday October 17 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
Presentation on SEC Rule on Reporting of Securities Loans
16 October 2023
On Monday October 23 at 2 pm ET, Ignacio Sandoval of the Morgan Lewis Law Firm will review the SEC’s recent adoption of a rule to require Reporting of Securities Loans. FIF has invited members of the FIF Securities Lending T…
Rule 606 Working Group
16 October 2023
FIF has scheduled the next call for the FIF Rule 606 Working Group for Monday October 23 at 3:30 pm ET. This will be a ½ hour call and will focus on questions submitted by FIF members relating to Rule 606
Review of Regulatory Reporting Fines
16 October 2023
FIF has scheduled a call for Tuesday October 24 at 2 pm ET to review regulatory reporting fines for 2022 and 2023, including CAT, EBS, LOPR, Rule 605, Rule 606, short interest reporting, swap data reporting, TRACE, trade adv…
SEC Open Meeting on Volume-Based Exchange Transaction Pricing for NMS Stocks
16 October 2023
The SEC has scheduled an open meeting for Wednesday October 18 at 10 am ET on Volume-Based Exchange Transaction Pricing for NMS Stocks. According to the agenda published by the SEC, the SEC “will consider whether to propose…
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