Additional CAT Transaction Reporting Call for this Week

FIF has scheduled an additional call for the CAT Transaction Reporting Working Group for this week. The call will be on Monday January 29 at 3 pm ET and will focus on CAT billing and reconciliation. This will be in addition to the regularly-scheduled CAT Transaction Reporting Working Group call on Wednesday January 31 at 2 pm ET.

POSTED Jan 29,2024

SEC Open Meeting on Expanding the Definition of “Dealer”

The SEC has scheduled an open meeting for Wednesday January 31 at 9 am ET. 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 Jan 29,2024

Cybersecurity Working Group

FIF has scheduled the next call for the Cybersecurity Working Group for Wednesday January 31 at 3 pm ET. Matt Weinberg of the Cybersecurity and Infrastructure Agency (CISA) will provide an update on current threats to the financial industry. CISA is an agency of the US Department of Homeland Security. The Working Group will also review recent FINRA and NSA updates relating to cybersecurity. If you would like to participate on this call and are not a member of the Cybersecurity Working Group, please update your FIF profile or contact fifinfo@fif.com.

POSTED Jan 29,2024

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