At the request of an FIF member, FIF has scheduled a call for the FIF electronic recordkeeping sub-group for Tuesday November 14 at 1:30 pm ET to discuss 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, and we will include you in this discussion.

FIF has scheduled an additional call for the CAT Transaction Reporting Working Group for this week. The call will be on Thursday November 16 at 11 am ET and will focus on CAT billing and other issues as time permits. This will be in addition to the regulatory scheduled CAT Transaction Reporting Working Group call on Wednesday November 15 at 2 pm ET, which will focus on CAT reporting for not immediately actionable RFQ responses and the exemptive order published by the SEC on November 3 (including CAT reporting by a routing firm of port settings applied by a receiving firm).

On Thursday November 16 at 2 pm ET, Ignacio Sandoval of the Morgan Lewis law firm will review the new margin requirements for Covered Agency Transactions, which are scheduled to take effect on May 22, 2024. FIF has invited the members of the FIF Back Office Committee and the FIF Financial Risk Regulations Working Group to participate on this call. If you would like to participate on this call and are not a member of either Committee or Working Group, please update your FIF profile or send a note to fifinfo@fif.com.

An FIF member would like to discuss with other FIF members implementing clock synchronization requirements for debt securities based on FINRA Rule 4590, Supplementary Material .02. If you would like to participate in this discussion, please send a note to fifinfo@fif.com.

FIF is excited to announce our 2023 year-end event, sponsored by Société Générale. After opening remarks from Société Générale, there will be two panels: the first focusing on technology, specifically trading and market data in the cloud and hybrid environments. The technology panel will feature Prerak Sanghvi of Clear Street, with additional panelists being announced soon. The second panel will focus on implementation challenges of new regulations in 2024 and beyond. The regulatory panel will feature Mark Davies of S3, with additional panelists being announced soon. FIF Advisory Chair, Tom Jordan, will moderate both panels. The event will take place on December 5 at Société Générale’s offices at 245 Park Avenue, New York, NY 10167. Registration in the lobby begins at 3:30 pm ET. The speaking engagement will be from 4:30-6:30 pm ET with refreshments and networking afterwards from 6:30-8 pm ET. FIF would like to thank Société Générale for sponsoring this event. FIF Members may register for free here. Non-members who are interested in attending may contact the FIF program office at fifinfo@fif.com.