Back Office Committee

The Back Office Committee will have its next call on Tuesday February 18 at 2 pm ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.

POSTED Feb 10,2025

SEC Rule 606 and FINRA Rule 6470 Working Group

The next call for the SEC Rule 606 and FINRA Rule 6470 Working Group will be on Tuesday February 18 at 3 pm ET. The Working Group will discuss a draft FIF letter to the SEC and FINRA on SEC Rule 606(a) and the implementation of FINRA Rule 6470.

POSTED Feb 10,2025

Securities Lending Transparency (SLATE) Working Group

FIF has scheduled the next call for the SLATE Working Group for Thursday February 20 at 11 am ET. The Working Group will continue its discussion of the SEC approval of the FINRA rule filing for SLATE and current open interpretive issues. The Working Group will also continue its discussion of the January 24 blog by Robert Cook, President and CEO of FINRA, titled “Implementing the SEC’s Securities Lending Reporting Requirements.”

POSTED Feb 10,2025

© 2025 Financial Information Forum

Press enter to search
Press enter to search

Interested in joining us?

Download membership kit

Key Reasons to Join

  1. Stay informed on Current Regulatory and Market Initiatives
  2. Drive Industry Issues to Successful Resolution
  3. Impact the implementation timing and methodology of new rules
  4. Apply FIF Insight Within Your Firm