The FIF CAT Monthly Update Working Group call for July will be on Thursday July 6 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.
POSTED Jul 03,2023
Because of the July 4 holiday, FIF has cancelled the regularly scheduled CAT Transaction Reporting and CAT CAIS calls for this week. The next regulatory-scheduled calls for these Working Groups will be on Wednesday July 12.
POSTED Jul 03,2023
FIF has scheduled a call for Thursday July 6 at 1 pm ET to discuss: requesting that FINRA provide additional transparency to assist industry members in reconciling Section 31 fees; and potential changes to address inefficiencies in the current collection process for Section 31 fees. If you would like to participate in this discussion, please send a note to fifinfo@fif.com.
POSTED Jul 03,2023
On Monday July 10 at 2 pm ET, FINRA CAT will provide an updated presentation to members of the FIF CAT Transaction Reporting Working Group on CAT reporting for RFQ responses.
POSTED Jul 03,2023
FIF has scheduled a call for the Compliance and Surveillance Working Group for Tuesday July 11 at 2 pm ET to discuss expanded surveillance by FINRA based on CAT data. FINRA representatives have noted to FIF members that FINRA is enhancing its surveillance routines based on CAT data. FIF members will discuss expanded surveillance by FINRA and potential steps industry members could take to enhance their internal surveillance in response to FINRA’s enhanced surveillance.
POSTED Jul 03,2023
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