Rule 606 Working Group

FIF has scheduled the next call for the FIF Rule 606 Working Group for Monday November 6 at 3:30 pm ET to continue the discussion of Rule 606 reporting for the pass-through of CAT fees. The Working Group will also discuss issues and questions from FIF members relating to Rule 606 reporting.

POSTED Nov 06,2023

Regulatory Reporting Fines for 2022 and 2023

FIF has scheduled a call for Thursday November 9 at 2 pm ET to continue the review of regulatory reporting fines for 2022 and 2023. The Working Group will also review a summary of findings for each regulatory report, including CAT, EBS, LOPR, Rule 605, Rule 606, short interest reporting, swap data reporting, TRACE, trade advertising and TRF/ORF. All firm names and dates are excluded from the presentation. FIF has invited the members of the Compliance and Surveillance Working Group and the newly-created Regulatory Reporting Fines Working Group to participate on this call. If you would like to participate on this call and are not a member of either Working Group, please update your FIF profile or send a note to fifinfo@fif.com. A number of members have asked FIF to distribute the digest document from the prior call to the Working Group members. FIF is currently making additional edits to this document and will distribute the document with the agenda that FIF sends out on Thursday morning.

POSTED Nov 06,2023

Electronic Recordkeeping

An FIF member would like to discuss with other members the requirement under SEC Rule 17a-11(c) for a broker-dealer to provide same-day notice to the SEC and FINRA if the firm fails to make and keep current any books and records required by SEC Rule 17a-3. If you are interested in participating in this  discussion and are not already a participant in the FIF electronic recordkeeping sub-group, please send a note to fifinfo@fif.com.

POSTED Nov 06,2023

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