FIF has scheduled the next call for the Rule 605 Working Group for Thursday July 28 at 2 pm ET. The agenda for the call will be to review a draft letter to the Director of the SEC’s Division of Trading and Markets Division relating to Rule 605.
POSTED Jul 18,2022
On Thursday August 4, 2022 at 11 am ET, Ignacio Sandoval of the Morgan Lewis law firm will discuss the SEC’s Semi-Annual Regulatory Agenda published in June, including planned rule adoptions, planned rule proposals and proposed long-term actions. The presentation will be focused on rules and proposals relating to trading and markets. FIF will invite members of the Back Office and Front Office Committees and the Compliance Working Group to participate on the call. If you are not a member of any of these Committees or Working Groups and would like to participate on this call, please update your profile or contact fifinfo@fif.com.
POSTED Jul 18,2022
On June 22, 2022, FINRA published Regulatory Notice 22-14, “OTC Options Reporting: FINRA Requests Comment on Proposed Trade Reporting Requirements for Over-The-Counter Options Transactions”. At the request of FIF members, FIF has scheduled a member call to discuss this Regulatory Notice. The call will be on Monday July 11 at 11 am ET. If you are interested in participating in member discussions on this topic, please send a note to fifinfo@fif.com, and we will include you in these discussions.
POSTED Jul 11,2022
The FIF Back Office Committee will meet on Tuesday July 12 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
POSTED Jul 11,2022
FINRA is sponsoring an industry webinar on TRACE reporting by Covered Depository Institutions. The webinar will be on Tuesday July 12, 2022 at 2 pm ET. During the call, FINRA will address administrative requirements, technical setup and support, software testing, the project timeline, and other questions participants may have about the project. Registration is required and is available via this link.
POSTED Jul 11,2022
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