FIF has scheduled a call for Thursday November 2 at 11 am ET to review the SEC’s recent adoption of a rule to require monthly reporting of short positions and short activity. FIF has invited members of the FIF Short Sales / Reg SHO / Short Interest Reporting Working Group to participate on this call. If you would like to participate on this call and are not a member of this Working Group, please update your FIF profile or send a note to fifinfo@fif.com.
POSTED Oct 30,2023
The FIF CAT Monthly Update Working Group call for November will be on Thursday November 2 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.
POSTED Oct 30,2023
FIF has scheduled the next call for the FIF Securities Lending Transparency Working Group for Monday November 6 at 2 pm ET. The agenda for the call will be to continue the review and discussion of the SEC’s recently-adopted rule to require Reporting of Securities Loans. The Working Group will discuss various issues relating to the rule proposal, including how end-of-day should be defined, how a platform or venue should be defined, timestamp granularity, how spread-based pricing should be reported and disseminated, and reporting on an “if-known” basis. If you would like to participate on this call and are not a member of the Securities Lending Transparency Working Group, please update your FIF profile or send a note to fifinfo@fif.com.
POSTED Oct 30,2023
FIF has scheduled the next call for the FIF Rule 606 Working Group for Monday November 6 at 3:30 pm ET to continue the discussion of Rule 606 reporting for the pass-through of CAT fees.
POSTED Oct 30,2023
An FIF member would like to discuss with other members 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.
POSTED Oct 30,2023
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