FIF has scheduled a call for Thursday April 27 at 3 pm ET to continue the review and discussion of the SEC’s recent cybersecurity, Reg SCI and Reg S-P rule proposals. FIF has invited members of the following Working Groups to participate on this call: the Compliance and Surveillance Working Group; the Cybersecurity Working Group; and the newly-formed SEC Cyber, Reg SCI and Reg S-P Working Group. If you are interested in participating on this call and are not a member of any of these Working Groups, please update your FIF profile or contact fifinfo@fif.com.

On April 13, FIF submitted a response to the SEC’s March 3, 2023 “Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities).” FIF would like to thank the members of the FIF Rule 606 Working Group for their contributions in the drafting of this response letter.

FIF has scheduled an additional call this week for the CAT Transaction Reporting Working Group to continue the discussion of the mechanics of the CAT fee collection process. This call is scheduled for Monday April 17 at 2 pm ET.

FIF has scheduled a call for the Cybersecurity Working Group and the Compliance and Surveillance Working Group for Monday April 17 at 4 pm ET. The agenda for the call will be to discuss a rule filing submitted by The Options Clearing Corporation to the SEC that would require immediate notification of security incidents to the OCC and various follow-up notification requirements.

FINRA CAT has scheduled a Tech Specs Working Group call for Tuesday April 18 at 9 am ET. Presumably on this call FINRA CAT will review the April 11 updates to the CAT Technical Specifications document. FIF has forwarded the invite for this call to the members of the FIF CAT Transaction Reporting Working Group.