The FIF Cybersecurity Working Group will have its next call today at 3 pm ET. This call will include an overview of FIFs recent discussions with the SEC on cybersecurity and a review of recent cybersecurity alerts from CISA and other government agencies.
POSTED Dec 12,2022
The Front Office Committee will have its next call on Tuesday December 13 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.
POSTED Dec 12,2022
The next call for the Rule 606 Working Group will be on Tuesday December 13 at 1 pm ET. The Working Group will continue its discussion of the rule filing submitted by FINRA to the SEC on Disclosure of Order Routing Information for OTC Equities (SR-FINRA-2022-031).
POSTED Dec 12,2022
The next call for the TRACE/Fixed Income Working Group will be on Tuesday December 13 at 3 pm ET. The Working Group will discuss FINRA Regulatory Notice 22-26 (“Trade Reporting and Compliance Engine (TRACE): FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot Trades”), FINRA Regulatory Notice 22-27 (“TRACE Reporting of U.S. Treasury Securities: FINRA Adopts Enhancements to TRACE Reporting for U.S. Treasury Securities”), and responses from FINRA to FIF member comments and questions on TRACE reporting by Covered Depository Institutions and TRACE reporting for foreign sovereign bonds.
POSTED Dec 12,2022
The Back Office Committee will have its next call on Thursday December 15 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
POSTED Dec 12,2022
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