FIF has scheduled a joint call for the SEC FINRA Regulations Working Group and the Compliance and Surveillance Working Group for Wednesday May 6 at 11 am ET. The Workings Groups will review an updated Regulatory Implementations Presentation and Calendar, including updates on the following topics: Reg NMS minimum quote increments and access fee caps; expansion of exchange trading hours; TRF extended hours; Section 31 fees; FINRA margin rule amendments; Consolidated Audit Trail; Rule 605 amendments; new equity and options exchanges and new clearing agencies; OPRA Dynamic Load Rebalancing; FICC cross-margining with CME; TRACE reporting; tokenized securities and Trump accounts.

The CAT Monthly Update Working Group call for May will be on Thursday May 7 at 2 pm ET. The Working Group will review guidance and updates from CAT LLC and FINRA CAT during the prior month. The Working Group will also review the current areas of focus for FIF members and the current open issues relating to CAT reporting.

FIF has scheduled a joint call for the Short Sales / Reg SHO / Short Reporting Working Group and the Compliance and Surveillance Working Group for Monday May 11 at 2 pm ET. The Working Groups will discuss (i) the SEC’s approval of amendments to FINRA’s margin rules (FINRA Rule 4210), (ii) the rule filing by FINRA to amend Short Interest Reporting (FINRA Rule 4560; proposed FINRA Rule 4321). 

FIF has scheduled a webinar on Electronic Communications Compliance for Tuesday May 19 at 2 pm ET. The moderator for the webinar will be Holly Dito of Daiwa. The panelists will be Meredith Abrams of the Simpson Thacher law firm, Thoreau Bartmann of the K&L Gates law firm, Rajni Chidambaram of Interactive Brokers, and Donald McElligott of Global Relay. FIF has invited the members of the Compliance and Surveillance Working Group for this webinar. If you would like to submit any questions for the webinar to be raised anonymously, please send them to fifinfo@fif.com.

FIF would like to remind users that if you would like to access the CAT Counterparty Utility, update your profile and subscribe to the CAT Counterparty Utility under “distribution list” at the bottom of your profile, then submit the changes. The program office will add the permissions onto your account in short order. Once you have access to the Utility, check your firm’s data on there to make sure it’s up to date. If your firm’s data is not up to date or it’s missing, reach out to fifinfo@fif.com and work with Kevin to get the information updated. The Utility is open to non-members as well, so if you’d like to send your clients or business partners our way, they can get in contact with us at fifinfo@fif.com.