The Section 31 Fees subgroup will have its next call on Monday September 15 at 3 pm ET. The subgroup will continue its discussion of enhancing the process for reconciliation of the FINRA Regulatory Transaction Fee. The subgroup will also discuss the handling of residual Section 31 fees. If you would like to participate in this discussion and are not a member of this subgroup, please send a note to fifinfo@fif.com, and we will include you in this discussion.
POSTED Sep 15,2025
FIF has scheduled a joint call for the CAT Transaction Reporting and CAIS Working Groups for Wednesday September 17 at 2 pm ET. The Working Groups will discuss issues relating to CAT billing, CAT Transaction Reporting and CAIS.
POSTED Sep 15,2025
FIF has scheduled a call for the SLATE Working Group for Thursday September 18 at 10 am ET. FIF members will provide an update on discussions with FINRA to address current challenges with SLATE reporting.
POSTED Sep 15,2025
The Back Office Committee will have its next call on Thursday September 18 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. The spotlight presenter will be Ian Springle of ICE, who will provide an update on the current status of the ICE Treasury Clearing application.
POSTED Sep 15,2025
On Monday September 22 at 1 pm ET, Ignacio Sandoval will review the six-month rulemaking agenda recently published by the SEC. FIF has invited the members of the Compliance and Surveillance Working Group and the SEC FINRA Regulations Working Group to participate on this call.
POSTED Sep 15,2025
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