FIF CAT Monthly Update Working Group

The CAT Monthly Update Working Group call for July will be on Thursday July 10 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting, CAT CAIS and CAT billing during the prior month. The Working Group will also review the current areas of focus for FIF members and the current open issues for CAT Transaction Reporting, CAT CAIS reporting and CAT billing.

POSTED Jun 30,2025

FIF Trade Surveillance Webinar

FIF has scheduled a webinar on Trade Surveillance for Wednesday July 23 at 2 pm ET. The moderator for the panel will be Holly Dito of Daiwa. The panelists will be Ted Karn of The Karn Group, Derek Lacarrubba of the K&L Gates law firm, Chris Montagnino of Jordan and Jordan, and Jeremy Vest of S3. FIF has invited the members of the FIF Compliance / Surveillance Working Group to participate on this call.

POSTED Jun 30,2025

FIF Submits Letter to the Treasury Department’s Office of Financial Research on Repo Reporting

On June 17, FIF submitted a letter to the Treasury Department’s Office of Financial Reporting relating to the requirement for Covered Reporters to report positions in non-centrally cleared bilateral repos. The letter discusses (i) reporting for the scenario where the closing leg of a repo does not settle on the scheduled end date and (ii) the current resubmission process. FIF would like to thank the members of the OFR Repo Reporting Working Group for their contributions in the drafting of this letter.

POSTED Jun 23,2025

FIF Submits Request for Postponement of the Planned Changes to the CAIS Compliance Error Rate Calculations

On June 18, FIF submitted a letter to the CAT Plan Participants and FINRA CAT requesting a postponement of the planned changes to the CAIS compliance error rate calculations pending the SEC’s decision on proposed amendments to the CAT NMS Plan relating to PII. FIF would like to thank the members of the CAT CAIS and CAT Transaction Reporting Working Groups for their participation in the drafting of this letter.

POSTED Jun 23,2025

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