The FIF CAT Monthly Update Working Group call for October will be on Thursday October 5 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 02,2023
An FIF member would like to discuss with other members how a firm should calculate its market share for determining whether it has exceeded specific market share thresholds set forth in the SEC’s Reg ATS and Reg SCI. If you would like to participate in this discussion, please contact fifinfo@fif.com.
POSTED Oct 02,2023
An FIF member would like to discuss with other members specific questions relating to the updates to the electronic recordkeeping requirements adopted by the SEC last year. If you would like to participate in this discussion, please contact fifinfo@fif.com.
POSTED Oct 02,2023
Our Annual Chicago Event hosted by Cboe Global Markets will be taking place on Monday October 30. Registration in the lobby begins at 3 pm CT. The speaking engagement will be from 4-5:30 pm CT with refreshments and networking afterwards from 5:30-7 pm CT. The panel topics and speakers will be announced in the coming weeks. Please register here to secure your spot, FIF Events are free to attend for FIF Members. If you have any questions, please contact fifinfo@fif.com.
POSTED Sep 25,2023
FIF will host two calls this week for the CAT Transaction Reporting Working Group. The first call will be on Tuesday September 26 at 2 pm ET. During this call, FIF members will continue their discussion of the SEC’s September 6 Order approving the Executed Share Model for CAT funding, including current status and next steps. FIF members also will discuss a draft presentation to FINRA requesting that FINRA provide additional data to facilitate reconciliation of Section 31 fees. The second call will be on Wednesday September 27 at 2 pm ET and will cover CAT issues generally, including implementation of the Executed Share Model. FIF will also host a CAIS call this week on Wednesday September 27 at 11 am ET.
POSTED Sep 25,2023
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