FIF Survey Request on Volume of EBS Queries

Dear FIF CAT CAIS and CAT Transaction Reporting Working Group Members,

At the request of FIF members, FIF is conducting an additional survey on the volume of EBS queries that FIF members are receiving.

To respond to this survey, please provide the following data for June, July and August 2024 (separately for each month) for EBS requests received by your firm:

• Number of requests that cover activity on or prior to May 31, 2024 (but not activity on or after June 1, 2024)
• Number of requests that cover activity on or after June 1, 2024 (but not activity on or before May 31, 2024)
• Number of requests that cover activity on or prior to May 31, 2024 and also cover activity on or after June 1, 2024

Please only include requests from the SEC and FINRA and provide the SEC and FINRA totals separately.

The following is an example of a format for responding:

• Requests received June 2024
  • SEC (activity on or prior to May 31, 2024 only): ___
  • SEC (activity on or after June 1, 2024 only): ___
  • SEC (activity on or prior to May 31, 2024 and on or after June 1, 2024): ___
  • FINRA (activity on or prior to May 31, 2024 only): ___
  • FINRA (activity on or after June 1, 2024 only): ___
  • FINRA (activity on or prior to May 31, 2024 and on or after June 1, 2024): ___
• Requests received July 2024
  • SEC (activity on or prior to May 31, 2024 only): ___
  • SEC (activity on or after June 1, 2024 only): ___
  • SEC (activity on or prior to May 31, 2024 and on or after June 1, 2024): ___
  • FINRA (activity on or prior to May 31, 2024 only): ___
  • FINRA (activity on or after June 1, 2024 only): ___
  • FINRA (activity on or prior to May 31, 2024 and on or after June 1, 2024): ___
• Requests received August 2024
  • SEC (activity on or prior to May 31, 2024 only): ___
  • SEC (activity on or after June 1, 2024 only): ___
  • SEC (activity on or prior to May 31, 2024 and on or after June 1, 2024): ___
  • FINRA (activity on or prior to May 31, 2024 only): ___
  • FINRA (activity on or after June 1, 2024 only): ___
  • FINRA (activity on or prior to May 31, 2024 and on or after June 1, 2024): ___

FIF will maintain the anonymity of all survey responses. FIF is requesting that FIF members reply to this survey by Monday September 30, but the FIF CAT Working Groups will review responses as they are received.

Please send an email to fifinfo@fif.com with any questions or suggestions.

Best regards,

FIF