On Wednesday December 6 at 4:15 pm ET, FINRA CAT will host Part 2 of its webinar on 2024 CAIS Releases. In response to the FINRA CAT webinar, FIF has scheduled an additional CAIS Working Group call for this week. In addition to the regularly scheduled CAIS Working Group call on Wednesday December 6 at 11 am ET, FIF has scheduled an additional CAIS Working Group call for Thursday December 7 at 11 am ET.

The FIF CAT Monthly Update Working Group call for December will be on Thursday December 7 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting and CAT CAIS 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 and CAT CAIS reporting.

At the request of an FIF member firm, FIF has scheduled a call for Thursday December 7 at 3 pm ET to discuss guidance received by the FIF member from the SEC and FINRA on conducting fully-paid lending from a foreign omnibus account. If you would like to participate in this discussion and have not previously responded on this, please send a note to fifinfo@fif.com.

An FIF member would like to discuss with other FIF members compliance with FINRA clock synchronization requirements for trading systems in the cloud (including FINRA clock synch requirements applicable for CAT). If you would like to participate in this discussion, please send a note to fifinfo@fif.com.

FIF is excited to announce our 2023 Year-End Holiday Event, sponsored by Societe Generale. After opening remarks from Greg Zielinski, Chief Operating Officer (COO) of Société Générale Americas, there will be two panels, with the first one focusing on implementation challenges of new regulations in 2024 and beyond. The regulatory panel will feature Mark Davies of S3, Michael Lurie of Credit Suisse, Judy McDonald of SIG and Ignacio Sandoval of Morgan, Lewis & Bockius LLP. The second panel will be focusing on technology, specifically trading and market data in the cloud and hybrid environments. The technology panel will feature Arnaud Derasse of Exegy, Anand Pradhan of NYSE, Prerak Sanghvi of Clear Street and Shawn Sloves of Fundamental Interactions. FIF Advisory Chair, Tom Jordan, will moderate both panels. After the two panels, Rob Wallos of Kyndryl will provide an update on technology implementation, including the growth in options quote and trade volume and the expansion of the lines for OPRA. The event will take place on December 5th at Societe Generale’s offices at 245 Park Avenue (enter the building on the Park Avenue side, not the Lexington side), New York, NY 10167. Registration and networking begins at 3pm ET. The speaking engagement will be from 4-6pm ET with refreshments and networking afterwards from 6-7:30pm ET. FIF would like to thank Societe Generale for sponsoring this event. FIF Members may register for free here. Non-members who are interested in attending may contact the FIF program office at fifinfo@fif.com.