The FIF CAT Monthly Update Working Group call for March will be on Thursday March 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, CAT CAIS and CAT billing 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, CAT CAIS reporting and CAT billing.
POSTED Mar 04,2024
FIF has scheduled a call for the Rule 605 and 606 Working Groups for Monday March 11 at 2 pm ET as a follow-up to the SEC open meeting on Rule 605, which is scheduled for March 6. The Working Group will review the changes to Rule 605 that are adopted by the SEC. The Working Group will also discuss FINRA Regulatory Notice 24-05, which announces the new requirement for FINRA members to file their quarterly Rule 606(a) reports with FINRA.
POSTED Mar 04,2024
On February 26 FIF submitted a supplemental comment letter to the SEC on (i) the January 11 rule filing by FINRA to reduce to one minute the TRACE reporting timeframe for securities that are currently subject to a fifteen-minute reporting timeframe and (ii) the parallel rule filing by the MSRB on January 12. FIF would like to thank the members of the FIF TRACE / Fixed Income Working Group for their participation in the drafting of this comment letter.
POSTED Feb 26,2024
FIF has scheduled two additional calls for the CAT Transaction Reporting Working Group for this week. On Monday February 26 and Thursday February 29 at 2 pm, the Working Group will continue its review and discussion of a draft FIF comment letter on CAT billing and reconciliation. The Monday and Thursday calls are in addition to the regularly-scheduled CAT Transaction Reporting Working Group call on Wednesday February 28 at 2 pm ET.
POSTED Feb 26,2024
The Front Office Committee will have its next call on Tuesday February 27 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.
POSTED Feb 26,2024
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