The Front Office Committee will have its next call on Tuesday December 19 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges. The spotlight presenter will be Padma Kadiyala, Finance Professor at the Pace University Lubin School of Business, who will discuss and provide a demo of a trading transparency app.

Registration has closed for the FIF year-end event at Société Générale. If you are registered for the event, it will take place on December 5 at Société Générale’s offices at 245 Park Avenue, New York, NY 10167. Registration in the lobby and networking begins at 3 pm ET. The speaking engagement will be from 4-6 pm ET with refreshments and networking afterwards from 6-7:30 pm ET. After opening remarks from Greg Zielinski, the Chief Operating Officer of Société Générale Americas, there will be two panels. One panel will focus on technology, specifically trading and market data in the cloud and hybrid across different asset classes, including equities, options and digital assets. The other panel will focus on implementation challenges of new regulations in 2024 and beyond, including: CAT; CAIS; Rule 605; routing disclosures for OTC equities; tick sizes, round lots and display of odd lots; reporting of securities loans; T+1; margin requirements for covered agency transactions; and cyber and Reg SCI. FIF Advisory Chair, Tom Jordan, will moderate both panels. The participants for the technology panel will be Arnaud Derasse of Exegy, Anand Pradhan of the NYSE, Prerak Sanghvi of Clear Street, and Shawn Sloves of Fundamental Interactions. The participants for the regulatory implementation panel will be Mark Davies of S3, Michael Lurie of UBS, Judy McDonald of Susquehanna Investment Group, and Ignacio Sandoval of Morgan Lewis. After the second panel, Rob Wallos of Kyndryl will provide an update on technology implementation, including the continuing growth in options quote and trade volume and the expansion of the lines for OPRA. FIF would like to thank Société Générale for sponsoring this event.

On Wednesday December 6 at 4:15 pm ET, FINRA CAT will host Part 2 of its webinar on 2024 CAIS Releases. In response to the FINRA CAT webinar, FIF has scheduled an additional CAIS Working Group call for this week. In addition to the regularly scheduled CAIS Working Group call on Wednesday December 6 at 11 am ET, FIF has scheduled an additional CAIS Working Group call for Thursday December 7 at 11 am ET.

The FIF CAT Monthly Update Working Group call for December will be on Thursday December 7 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.