An FIF member would like to discuss with other FIF members the FINRA rule change relating to Residential Supervisory Locations (“RSLs”) and FINRA Regulatory Notice 24-02, which provides implementation details for designating RSLs. If you are interested in participating in this discussion, please contact fifinfo@fif.com, and we will include you in the discussion.
POSTED Feb 12,2024
FIF has scheduled two additional calls for the CAT Transaction Reporting Working Group for this week. On Monday February 5 at 2 pm ET, the Working Group will continue its discussion of CAT billing and reconciliation. On Thursday February 8 at 11 am ET, the Working Group will discuss linkage of representative to customer orders and linkage of order fulfillments to principal and riskless principal orders. The Monday and Thursday calls are in addition to the regularly-scheduled CAT Transaction Reporting Working Group call on Wednesday February 7 at 2 pm ET and the regularly-scheduled CAIS Working Group call on February 7 at 11 am ET.
POSTED Feb 05,2024
The SEC has scheduled an open meeting for Tuesday February 6 at 10 am ET (rescheduled from January 31). At the meeting, “The Commission will consider whether to adopt new rules to further define the phrase ‘as a part of a regular business’ as used in the statutory definitions of the terms ‘dealer’ and ‘government securities dealer’ under the Securities Exchange Act of 1934, in connection with certain liquidity providers.” You can access the meeting from the SEC’s home page at the scheduled start time for the meeting.
POSTED Feb 05,2024
FIF has scheduled a call for the Rule 605 Working Group for Tuesday February 6 at 3 pm ET. The Working Group will review a draft supplemental FIF comment letter on the SEC’s rule proposal to modernize Rule 605.
POSTED Feb 05,2024
The next call for the TRACE Working Group will be on Thursday February 8 at 2 pm ET. The agenda for the call will be to review and discuss a revised draft of the FIF comment letter on (i) the January 11 rule filing by FINRA to reduce to one minute the TRACE reporting timeframe for securities that are currently subject to a fifteen-minute reporting timeframe and (ii) the parallel rule filing by the MSRB on January 12.
POSTED Feb 05,2024
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