FIF has scheduled a call for Thursday January 11 at 3 pm ET to review a digest of rules recently adopted or proposed by the SEC and FINRA. The rules are organized based on the following seven categories: Technology, Operations and Finance; Equities; Options; Fixed Income; Security-Based Swaps; Multiple Asset Classes; and Compliance and Proceedings. The January 11 call will focus on the first two categories. FIF has invited the members of the Compliance and Surveillance Working Group and the SEC FINRA Regulations Working Group to participate on this call. If you would like to participate on this call and are not a member of either Working Group, please update your FIF profile or contact fifinfo@fif.com.

FIF has scheduled a call for the Section 31 subgroup for Tuesday January 16 at 3 pm ET. The subgroup will discuss next steps after the recent FIF member call with FINRA representatives to discuss enhancing the reconciliation process for the FINRA Regulatory Transaction Fee (charged by FINRA to reimburse FINRA for the Section 31 fee it pays to the SEC). If you would like to participate on this call and are not a member of this subgroup, please contact fifinfo@fif.com.

FIF has scheduled the next call for the Digital Assets Working Group for Wednesday January 24 at 3 pm ET. The Working Group will discuss compliance with disclosure requirements for digital assets, including SEC Rule 15c2-11. Time permitting, the Working Group will also discuss reporting requirements for digital assets. If you would like to participate on this call and are not a member of the Digital Assets Working Group, please update your FIF profile or contact fifinfo@fif.com.

On Monday January 29 at 2 pm ET, Satish Kini and Robert Dura of the Debevoise law firm will review 2023 developments relating to anti-money laundering and sanctions regulations and key issues to focus on for 2024. FIF has invited the members of the Compliance and Surveillance Working Group and the SEC FINRA Regulations Working Group to participate on this call. If you would like to participate on this call and are not a member of either Working Group, please update your FIF profile or contact fifinfo@fif.com.

At the request of FIF members, FIF has created a subgroup for members to discuss issues relating to T+1 implementation, including the new requirements relating to same-day allocations. If you are interested in participating in this subgroup, please send a note to fifinfo@fif.com.