FIF has scheduled a call for Thursday July 27 at 10 am ET to discuss enhancing the reconciliation process for Section 31 fees. If you would like to participate in this discussion and have not previously notified FIF of your interest in this topic, please send a note to fifinfo@fif.com.
POSTED Jul 24,2023
On Thursday July 27 at 3 pm ET, Steven Lofchie and Nihal Patel of Fried Frank will present on the following recent SEC and FINRA financial risk rulemaking initiatives: (i) FINRA Seeks Comment on Concept Proposal for a Liquidity Risk Management Rule (FINRA Regulatory Notice 23-11); (ii) Proposed Rule Change to Provide Relief Relating to Specified Option Transactions under FINRA Rule 4210 (Margin Requirements) (SR-FINRA-2023-010); and (iii) the SEC rule proposal on Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule. FIF is inviting the members of the FIF Back Office Committee, the FIF Compliance and Surveillance Working Group, and the newly-formed FIF Financial Risk Regulations Working Group to participate on this call. FIF will add members who join this call, and can be identified through Zoom, to this new Working Group.
POSTED Jul 24,2023
FIF has scheduled a call for Monday July 31 at 1 pm ET to discuss processing and reporting for a scenario where a customer receives a fractional share or fractional bond as a result of a corporate action, and the fractional share or fractional bond allocation is subsequently liquidated as an account maintenance function. If you would like to participate on this call and have not previously notified FIF of your interest in this topic, please send a note to fifinfo@fif.com.
POSTED Jul 24,2023
FIF has scheduled a call for the CAT Transaction Reporting Working Group for Monday July 17 at 2 pm ET. This call will be focused on CAT reporting for RFQ responses, including the review of a draft supplemental letter to the CAT Plan Participants and FINRA CAT. This call will be in addition to the regularly-scheduled CAT Transaction Reporting call on Wednesday July 19 at 2 pm ET.
POSTED Jul 17,2023
FIF has scheduled a call for Tuesday July 18 at 2 pm ET to discuss retiring TRF reporting requirements that are duplicative of CAT (for example, regulatory reports to the TRF). If you would like to participate in this discussion and have not previously notified FIF of your interest in this topic, please send a note to fifinfo@fif.com.
POSTED Jul 17,2023
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