FIF has scheduled a call for the Section 31 subgroup for Tuesday January 16 at 3 pm ET. The subgroup will discuss next steps after the recent FIF member call with FINRA representatives to discuss enhancing the reconciliation process for the FINRA Regulatory Transaction Fee (charged by FINRA to reimburse FINRA for the Section 31 fee it pays to the SEC). If you would like to participate on this call and are not a member of this subgroup, please contact fifinfo@fif.com.
POSTED Jan 16,2024
FIF has scheduled a call for the Clock Synch for Fixed Income subgroup for Thursday January 18 at 10:30 am. The Working Group will discuss the supervisory obligations of a non-executing firm when reporting to TRACE the execution timestamp provided by the executing firm. If you would like to participate on this call and are not a member of this subgroup, please contact fifinfo@fif.com.
POSTED Jan 16,2024
FIF has scheduled a call for the TRACE Working Group for Thursday January 18 at 2 pm ET. The Working Group will review and discuss the January 11 rule filing by FINRA to reduce to one minute the TRACE reporting timeframe for securities that are currently subject to a fifteen-minute reporting timeframe and the parallel rule filing by the MSRB on January 12.
POSTED Jan 16,2024
FIF has scheduled the next call for the Digital Assets Working Group for Wednesday January 24 at 3 pm ET. The Working Group will discuss disclosure requirements for digital assets, including SEC Rule 15c2-11. Time permitting, the Working Group will also discuss reporting requirements for digital assets. If you would like to participate on this call and are not a member of the Digital Assets Working Group, please update your FIF profile or contact fifinfo@fif.com.
POSTED Jan 16,2024
On Monday January 29 at 2 pm ET, Satish Kini and Robert Dura of the Debevoise law firm will review 2023 developments relating to anti-money laundering and sanctions regulations and key issues to focus on for 2024. FIF has invited the members of the Compliance and Surveillance Working Group and the SEC FINRA Regulations 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 contact fifinfo@fif.com.
POSTED Jan 16,2024
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