FIF - Financial Information Forum

Spotlight Presentation on T+1 Settlement

On Tuesday, May 24, 2022 at 2 pm ET, attorneys from the Willkie Farr law firm will review the SEC’s T+1 rule proposal and discuss material issues raised by market participants in their comment letters on the rule proposal. FIF has invited the members of the FIF Back Office Committee and the Compliance Working Group to the call. If you would like to participate on this call and are not a member of the Back Office Committee or the Compliance Working Group, please contact fifinfo@fif.com.

POSTED May 16,2022

SEC Rule 15c2-11 for Fixed Income

On Thursday, May 26, 2022 at 11 am ET, FIF will host a call focused on implementation challenges firms are facing as a result of the SEC’s application of Rule 15c2-11 to fixed income securities. To lead off the discussion, Jason Palsgrove of Bloomberg will discuss the Bloomberg Fixed Income Quotation Transparency Product Related to SEC Rule 15c2-11. The Working Group also will discuss how firms are defining what constitutes a fixed income quote. FIF has invited the members of the FIF TRACE/Fixed Income and Compliance Working Groups to the call. If you would like to participate on this call and are not a member of either Working Group, please contact fifinfo@fif.com.

POSTED May 16,2022

TRACE Working Group call

The FIF TRACE Working Group will meet on Thursday May 12 at 3 pm to review new FAQs published by FINRA relating to TRACE reporting by covered depository institutions. The Working Group also will review guidance provided by the Federal Reserve Board to an FIF member on this topic. The Working Group also will discuss a recent announcement by the MSRB relating to reporting of municipal bond trades and recent statements by SEC Chair Gensler relating to TRACE and fixed income transparency. The Working Group also will review the current timeline for the recently approved rule change to include a modifier for portfolio trades in TRACE.

POSTED May 09,2022

Additional CAT CAIS Working Group Call

FIF has scheduled an additional CAT CAIS Working Group call for this week to review the May 4 and May 5, 2022 updates to the CAIS Technical Specifications and to continue the review of the updates to the CAIS Reporting Scenarios posted by FINRA CAT on April 22, 2022. This call is scheduled for Monday May 9, 2022 at 11 am ET. This call is in addition to the regularly-scheduled CAIS Working Group calls on Wednesday and Friday.

POSTED May 09,2022

Compliance Working Group Call Focused on Trade Surveillance

At the request of several FIF member firms, FIF has scheduled a call for the Compliance Working Group that will focus on trade surveillance issues. FIF has scheduled this call for Tuesday May 17, 2022 at 2 pm ET. If you would like to participate on this call and are not a member of the Compliance Working Group, please contact fifinfo@fif.com. Please also contact us if you would like to discuss any specific issues relating to trade surveillance.

POSTED May 09,2022

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