FIF has scheduled two calls for this week for the CAT Transaction Reporting Working Group. The first call will be on Monday January 13 at 1 pm ET; the agenda for this call will be to discuss a revised draft FIF exemption request relating to representative order linkage. The second call is scheduled for Wednesday January 15 at 2 pm ET and will cover representative order linkage and other topics raised by FIF members.

The CAT Monthly Update Working Group call for January will be on Monday January 13 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting, CAT CAIS and CAT billing 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, CAT CAIS reporting and CAT billing.

The Short Sales / Reg SHO / Short Reporting Working Group will have its next call on Tuesday January 14 at 11 am ET. The Working Group will continue its discussion of the implementation of short position reporting.   

At the request of an FIF member, FIF has scheduled a call for Tuesday January 14 at 1 pm ET to discuss recent changes relating to the Options Regulatory Fee. If you are interested in this topic and do not have this invite in your calendar, please contact This email address is being protected from spambots. You need JavaScript enabled to view it., and we will include you in this discussion.

FIF has scheduled the next call for the SLATE Working Group for Thursday January 16 at 11 am ET. The Working Group will discuss the SEC’s approval of the FINRA rule filing for SLATE and the upcoming implementation requirements.

FIF has scheduled a call for the Tax Information Reporting Working Group for Thursday January 16 at 3:30 pm ET. Representatives from Wolters Kluwer will discuss Tax Reporting Considerations for Digital Asset ETFs.  

The Back Office Committee will have its next call on Tuesday January 21 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. FIF will review the SEC’s recent rule change to require broker-dealers that exceed a specified average credit threshold to compute the customer reserve requirement on a daily basis. FIF has prepared an outline of the rule change, which will be reviewed during the Working Group call.

On Tuesday January 21 at 3 pm ET, FIF is hosting a webinar on Trading Risk Controls and Reg SCI. The moderator for the panel will be Erin Clemens of StoneX. The panelists will be William Barbera of the Schulte Roth law firm, Chris Boldt of Interactive Brokers, Jim Dolan of Kezar Trading, and Doug Craig of Fidessa. FIF has invited the members of the Compliance and Surveillance Working Group and the SEC Cyber, Reg SCI and Reg S-P Working Group to participate in this webinar. If you would like to participate on this call and are not a member of either Working Group, please update your FIF...

FIF has scheduled the next call for the Cybersecurity Working Group for Thursday January 23 at 1 pm ET.  Matt Weinberg of the Cybersecurity and Infrastructure Agenda (CISA) will provide an update on current threats to the financial industry. CISA is an agency of the US Department of Homeland Security. The Working Group will also review recent FINRA and NSA updates relating to cybersecurity.