FIF has scheduled a call for Tuesday July 18 at 2 pm ET to discuss retiring TRF reporting requirements that are duplicative of CAT (for example, regulatory reports to the TRF). If you would like to participate in this discussion and have not previously notified FIF of your interest in this topic, please send a note to fifinfo@fif.com.
POSTED Jul 17,2023
The Back Office Committee will have its next call on Thursday July 20 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. The spotlight topic will be a presentation on a recent FINRA rule change relating to the FINRA Trading Activity Fee.
POSTED Jul 17,2023
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.
POSTED Jul 17,2023
On Thursday July 27 at 3 pm ET, Steven Lofchie and Nihal Patel of Fried Frank will present on the following recent SEC and FINRA financial risk rulemaking initiatives: (i) FINRA Regulatory Notice 23-11, FINRA Seeks Comment on Concept Proposal for a Liquidity Risk Management Rule (FINRA Regulatory Notice 23-11); (ii) Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements) (SR-FINRA-2023-010); and (iii) the SEC rule proposal on Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule. FIF is inviting the members of the FIF Back Office Committee, the FIF Compliance and Surveillance Working Group, and the newly-formed FIF Financial Risk Regulations Working Group to participate on this call. FIF will add members who join this call, and can be identified through Zoom, to this new Working Group.
POSTED Jul 17,2023
An FIF member would like to discuss with other FIF members processing and reporting for a scenario where a customer receives a fractional share or fractional bond as a result of a corporate action, and the fractional share or fractional bond allocation is subsequently liquidated as an account maintenance function. If you would like to participate in this discussion, please send a note to fifinfo@fif.com.
POSTED Jul 17,2023
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Deshalb, im Laufe der Jahre konnten wir einen Ruf als einer der besten unabhängigen Beratern zu bauen. Wir verstehen die Bedeutung der Kunden auf dem richtigen Weg zum Erfolg bringen, und wir sind bereit, mit ihnen der Planung in allen Bereichen zu arbeiten.
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