FIF has scheduled the next call for the FIF Securities Lending Transparency Working Group for Monday November 6 at 2 pm ET. The agenda for the call will be to continue the review and discussion of the SEC’s recently-adopted rule to require Reporting of Securities Loans. The Working Group will discuss various issues relating to the rule proposal, including how end-of-day should be defined, how a platform or venue should be defined, timestamp granularity, how spread-based pricing should be reported and disseminated, and reporting on an “if-known” basis. If you would like to participate on this call and are not a member of the Securities Lending Transparency Working Group, please update your FIF profile or send a note to fifinfo@fif.com.

FIF has scheduled the next call for the FIF Rule 606 Working Group for Monday November 6 at 3:30 pm ET to continue the discussion of Rule 606 reporting for the pass-through of CAT fees.

An FIF member would like to discuss with other members the requirement under SEC Rule 17a-11(c) for a broker-dealer to provide same-day notice to the SEC and FINRA if the firm fails to make and keep current any books and records required by SEC Rule 17a-3. If you are interested in participating in this  discussion and are not already a participant in the FIF electronic recordkeeping sub-group, please send a note to fifinfo@fif.com.

FIF is excited to announce our year-end event will take place on the evening of Tuesday December 5, and it will be sponsored by Société Générale. Those who were at the last Société Générale event back in 2017 know what a great venue this is, and FIF is excited to partner with Société Générale once again. We are planning on running two panels, with the first focusing on technology, including trading infrastructure in the cloud. The second panel will focus on operational challenges of new regulations in 2024 and beyond. Please save the date on your calendars as December can get busy before the holidays. FIF will create a registration page for this event in the near future.

FIF is excited to announce our annual Chicago event, sponsored by Cboe Global Markets. After opening remarks from Kevin Carrai of Cboe, there will be two panels, one focusing on regulation and compliance, and the other focusing on trading technology. FIF Advisory Chair, Tom Jordan, will moderate both panels. The regulation and compliance panel will feature Gregg Berman of Citadel, Angela Lucas of Simplex, and Nicole Pursley of Cboe Global Markets. The trading technology panel will feature Mike Smith of IPC, Raymond Tsui of SS&C Eze, and Jeff Wells of Cboe Global Markets. After the first panel, Henry Schwartz of Cboe will provide an update on the state of the options market. The event will take place on October 30 at Cboe's offices at 433 West Van Buren Street, Chicago, IL 60607. Registration in the lobby begins at 2 pm CT. The speaking engagement will be from 3-4:30 pm CT, with refreshments and networking afterwards from 4:30-6 pm CT. FIF would like to thank Cboe Global Markets for sponsoring this event. Please register here to secure your spot. FIF events are free to attend for FIF Members. If you have any questions, please contact fifinfo@fif.com.