FIF To Meet With SEC Staff: Rule 606

FIF will be meeting with SEC Staff on Wednesday, July 15 to discuss several remaining issues related to the implementation of Rule 606(a) and Rule 606(b).  FIF will discuss the outcome of that meeting during a subsequent meeting scheduled for Thursday, July 16 at 11:00am et.

POSTED Jul 13,2020

Reminder: FIF Webinar CAT Interfirm Linkages

FIF will be hosting a CAT Roundtable on Thursday, July 23rd at 3:00pm et focused on best practices associated with the upcoming CAT Phase 2a and Phase 2b linkage validations.  The webinar will feature speakers representing several industry and regulatory stakeholders.  Registration is open to both members and non-members. To register, please follow the link here.  

POSTED Jul 13,2020

FIF to Provide Regulators with Observations of Initial CAT Go-Live Challenges

FIF continues to work closely  with industry member stakeholders and the regulators to support the efficient transition to CAT testing and production go-live dates.  FIF has gathered substantial feedback from our industry member firms concerning identified issues that may pose challenges in CAT as additional validations go-live.  FIF is in the process of drafting a letter in an effort to promote open communication with the regulators concerning  current and anticipated challenges to the regulators.  FIF will review a draft of the letter during the July 1, 2:00pm CAT Tech Spec Working Group meeting.  Please consider submitting feedback concerning challenges your firm has experienced to   

POSTED Jun 29,2020

FIF Holds CAT Roundtable on Wednesday, June 17

FIF would like to thank all those who attended the FIF CAT roundtable on Wednesday, June 17. Specific topics included testing, resource management, best practice guidance, and a preview of Phase 2c - 2e deliverables.  Panelists included Shelly Bohlin, FINRA CAT; Ron Veith, JP Morgan; Dave Emero, Goldman Sachs; Ron Jordan, Kingland Systems; Mike Major, SIG; Will Leahey, Refinitiv; Mark Hendrickson, D.A. Davidson; and Merissa Billingsley, Fidessa. Please find the recording of the webinar here.

POSTED Jun 22,2020

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