FIF has scheduled a call for Thursday August 3 at 1 pm ET to continue the discussion of the recent amendments to FINRA Rule 2231 (Customer Account Statements). More specifically, the group will discuss new Interpretation .07 (Logos, Trademarks, etc.) and any other issues relating to FINRA Rule 2231 that participants want to raise. If you would like to participate on this call and have not previously notified FIF of your interest in this topic, please send a note to fifinfo@fif.com.

The FIF CAT Monthly Update Working Group call for August will be on Thursday August 3 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.

FIF has scheduled a call for Tuesday August 8 at 2 pm ET to review a draft letter to FINRA requesting the retirement of TRF reporting requirements that are duplicative of CAT (for example, regulatory reports to the TRF). If you would like to participate on this call and have not previously notified FIF of your interest in this topic, please send a note to fifinfo@fif.com. 

The Front Office Committee will have its next call on Tuesday July 25 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.

FIF has scheduled the next call for the Rule 606 Working Group for Tuesday July 25 at 2 pm ET. An FIF member will update the Working Group on guidance that the member received from SEC representatives on Rule 606(a) reporting (i) when a parent order is routed to multiple venues, and (ii) for orders received outside of regular market hours. The Working Group will also discuss other issues and questions raised by FIF members.