The FIF Back Office Committee will meet on Tuesday, May 17 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
POSTED May 16,2022
Compliance Working Group Call Focused on Trade Surveillance
At the request of several FIF member firms, FIF has scheduled a call for the Compliance Working Group that will focus on trade surveillance issues. FIF has scheduled this call for Tuesday, May 17, 2022 at 2 pm ET. If you would like to participate on this call and are not a member of the Compliance Working Group, please contact fifinfo@fif.com.
POSTED May 16,2022
TRACE/Fixed Income Working Group
The FIF TRACE/Fixed Income Working Group will meet on Monday, May 23, 2022 at 2 pm ET to continue its discussion of implementation issues relating to the Federal Reserve Board rule to expand TRACE reporting to include certain depository institutions. The Working Group also will discuss the recent FINRA rule filing with the SEC to expand TRACE reporting to cover foreign sovereign bonds.
POSTED May 16,2022
Spotlight Presentation on T+1 Settlement
On Tuesday, May 24, 2022 at 2 pm ET, attorneys from the Willkie Farr law firm will review the SEC’s T+1 rule proposal and discuss material issues raised by market participants in their comment letters on the rule proposal. FIF has invited the members of the FIF Back Office Committee and the Compliance Working Group to the call. If you would like to participate on this call and are not a member of the Back Office Committee or the Compliance Working Group, please contact fifinfo@fif.com.
POSTED May 16,2022
SEC Rule 15c2-11 for Fixed Income
On Thursday, May 26, 2022 at 11 am ET, FIF will host a call focused on implementation challenges firms are facing as a result of the SEC’s application of Rule 15c2-11 to fixed income securities. To lead off the discussion, Jason Palsgrove of Bloomberg will discuss the Bloomberg Fixed Income Quotation Transparency Product Related to SEC Rule 15c2-11. The Working Group also will discuss how firms are defining what constitutes a fixed income quote. FIF has invited the members of the FIF TRACE/Fixed Income and Compliance Working Groups to the call. If you would like to participate on this call and are not a member of either Working Group, please contact fifinfo@fif.com.
POSTED May 16,2022