The Back Office Committee will have its next call on Tuesday January 21 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. FIF will review the SEC’s recent rule change to require broker-dealers that exceed a specified average credit threshold to compute the customer reserve requirement on a daily basis. FIF has prepared an outline of the rule change, which will be reviewed during the Committee call.
POSTED Jan 21,2025
FIF has renamed the Rule 606 Working Group as the SEC Rule 606 and FINRA Rule 6470 Working Group. The next call for this Working Group will be on Tuesday January 21 at 1 pm ET. Working Group members will update the full Working Group on a call with FINRA relating to the implementation of Rule 6470, including reporting for routes to OTC Link. The Working Group will also discuss a question from an FIF member relating to Rule 606(a) reporting.
POSTED Jan 21,2025
On Tuesday January 21 at 3 pm ET, FIF is hosting a webinar on Trading Risk Controls and Reg SCI. The moderator for the panel will be Erin Clemens of StoneX. The panelists will be William Barbera of the Schulte Roth law firm, Chris Boldt of Interactive Brokers, Doug Craig of Fidessa, and Jim Dolan of Kezar Trading. FIF has invited the members of the Compliance and Surveillance Working Group and the SEC Cyber, Reg SCI and Reg S-P Working Group to participate in this webinar. If you would like to participate on this call and are not a member of either Working Group, please update your FIF profile or contact fifinfo@fif.com.
POSTED Jan 21,2025
The Short Sales / Reg SHO / Short Reporting Working Group will have its next call on Wednesday January 22 at 11 am ET. The Working Group will continue its discussion of the implementation of short position reporting, including a draft list of FAQs to present to the SEC.
POSTED Jan 21,2025
FIF has scheduled the next call for the CAT Transaction Reporting Working Group for Wednesday January 22 at 2 pm ET.
POSTED Jan 21,2025
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