On November 24, FIF submitted a letter to FINRA on SLATE implementation. FIF would like to thank the members of the SLATE Working Group for their contributions in the drafting of this letter.

In response to member request, FIF has created a new Working Group to discuss Canada Regulatory Reporting issues. If you would like to participate in this Working Group, please update your FIF profile or send a note to This email address is being protected from spambots. You need JavaScript enabled to view it..

The next call for the Rule 605 Working Group will be on Monday December 1 at 2 pm ET. The Working Group will continue its discussion of open interpretive questions relating to implementation of the Rule 605 amendments, including reporting for different order types and orders with different characteristics. 

FIF has scheduled a call for the SLATE Working Group for Wednesday December 3 at 11 am ET. The Working Group will continue its discussion of issues relating to SLATE implementation to raise with the SEC and FINRA.  

FIF has scheduled a joint call for the CAT Transaction Reporting and CAIS Working Groups for Wednesday December 3 at 2 pm ET. The Working Groups will continue the discussion of issues relating to CAT Transaction Reporting, CAIS and CAT billing.

The TRF/ORF Working Group will have its next call on Monday December 8 at 1 pm ET. The Working Group will discuss FINRA Regulatory Notice 25-15 relating to the extension of the TRF hours of operation and issues and questions from FIF members relating to this change.

FIF has scheduled a joint call for the Compliance and Surveillance Working Group and the SEC FINRA Regulations Working Group for Tuesday December 9 at 2 pm ET. The Working Groups will continue the discussion of a calendar and PowerPoint presentation on upcoming regulatory implementations.

Because of the FIF event at SocGen on December 4, FIF has scheduled the December CAT Monthly Update Working Group call for December 11 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 and CAT billing.

The next call for the Cybersecurity Working Group will be on Tuesday December 16 at 3 pm ET. Monsurat Ottun from the Cybersecurity and Infrastructure Security Agency (CISA) will discuss current threats to the financial industry.