The Back Office Committee will have its next call on Tuesday November 14 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. The spotlight presenter will be George Bollenbacher of Capital Market Advisors, who will discuss Getting to T+1 Settlement.
POSTED Nov 13,2023
At the request of an FIF member, FIF has scheduled a call for the FIF electronic recordkeeping sub-group for Tuesday November 14 at 1:30 pm ET to discuss the requirement under SEC Rule 17a-11(c) for a broker-dealer to provide same-day notice to the SEC and FINRA if the firm fails to make and keep current any books and records required by SEC Rule 17a-3. If you are interested in participating in this discussion and are not already a participant in the FIF electronic recordkeeping sub-group, please send a note to fifinfo@fif.com, and we will include you in this discussion.
POSTED Nov 13,2023
FIF has scheduled an additional call for the CAT Transaction Reporting Working Group for this week. The call will be on Thursday November 16 at 11 am ET and will focus on CAT billing and other issues as time permits. This will be in addition to the regulatory scheduled CAT Transaction Reporting Working Group call on Wednesday November 15 at 2 pm ET, which will focus on CAT reporting for not immediately actionable RFQ responses and the exemptive order published by the SEC on November 3 (including CAT reporting by a routing firm of port settings applied by a receiving firm).
POSTED Nov 13,2023
On Thursday November 16 at 2 pm ET, Ignacio Sandoval of the Morgan Lewis law firm will review the new margin requirements for Covered Agency Transactions, which are scheduled to take effect on May 22, 2024. FIF has invited the members of the FIF Back Office Committee and the FIF Financial Risk Regulations Working Group to participate on this call. If you would like to participate on this call and are not a member of either Committee or Working Group, please update your FIF profile or send a note to fifinfo@fif.com.
POSTED Nov 13,2023
An FIF member would like to discuss with other FIF members implementing clock synchronization requirements for debt securities based on FINRA Rule 4590, Supplementary Material .02. If you would like to participate in this discussion, please send a note to fifinfo@fif.com.
POSTED Nov 13,2023
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