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 Agenda (CISA) will provide a quarterly update on current threats to the financial industry. CISA is an agency of the US Department of Homeland Security. 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 16,2024
FIF has scheduled two additional calls for the CAT Transaction Reporting Working Group for this week: on Monday January 8 at 2 pm ET, the Working Group will review a revised draft FIF letter to the SEC on the requirement for a routing firm to report to CAT settings applied by a receiving firm; on Tuesday January 9 at 1 pm ET, the Working Group will discuss reconciliation of CAT invoices. The regularly-scheduled CAT Transaction Reporting call on Wednesday at 2 pm ET will focus on the recent rule filings by FINRA and the other SROs relating to collection of CAT fees, issues and questions from FIF members, and recent FAQ updates.
POSTED Jan 08,2024
On Tuesday January 9 at 3 pm ET, Penny Christophorou and Ignacio Sandoval of the Morgan Lewis law firm will review the rule recently adopted by the SEC to expand centralized clearing of Treasuries. FIF has invited members of the following Committees and Working Groups to participate on this call: Back Office Committee; Compliance and Surveillance Working Group; Financial Risk Regulations Working Group; and TRACE / Fixed Income Working Group. If you would like to participate on this call and are not a member of any of these Committees or Working Groups, please update your FIF profile or contact fifinfo@fif.com.
POSTED Jan 08,2024
FIF has scheduled a call for Thursday January 11 at 3 pm ET to review a digest of rules recently adopted or proposed by the SEC and FINRA. The rules are organized based on the following seven categories: Technology, Operations and Finance; Equities; Options; Fixed Income; Security-Based Swaps; Multiple Asset Classes; and Compliance and Proceedings. The January 11 call will focus on the first two categories. FIF has invited the members of the Compliance and Surveillance Working Group and the SEC FINRA Regulations Working Group to participate on this call. If you would like to participate on this call and are not a member of either Working Group, please update your FIF profile or contact fifinfo@fif.com.
POSTED Jan 08,2024
FIF has scheduled a call for the Section 31 subgroup for Tuesday January 16 at 3 pm ET. The subgroup will discuss next steps after the recent FIF member call with FINRA representatives to discuss enhancing the reconciliation process for the FINRA Regulatory Transaction Fee (charged by FINRA to reimburse FINRA for the Section 31 fee it pays to the SEC). If you would like to participate on this call and are not a member of this subgroup, please contact fifinfo@fif.com.
POSTED Jan 08,2024
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