On Monday March 7, 2022 at 4pm ET, FIF will host a webinar on Current Developments in Trading Technology. The webinar will include discussion of the following topics: converting voice communications to structured electronic data; 24-hour trading; trends in working from home and returning to the office; outsourced trading; risk data and analytics; inter-operability; and machine learning. Ivy Schmerken of FlexTrade, will moderate the panel. The panelists will be Matthew Brown of Blue Ocean ATS, Rajiv Kedia of FlexTrade and Mike Smith of IPC. Please register here to join us for this webinar.

On Wednesday March 9, 2022 at 1 pm ET, Satish Kini and Robert Dura of the Debevoise law firm will provide an update on the recent OFAC sanctions against Russia, including recent Directives under Executive Order 14024. The invite for this presentation has been sent to the members of the FIF Compliance Working Group and the FIF Front Office and Back Office Committees. If you are interested in attending this presentation and do not have the invite in your calendar, please either update your profile or email us at fifinfo@fif.com.

On Thursday March 10, 2022 at 3pm ET, FIF will host a spotlight presentation on Chief Compliance Officer liability. Patrick Campbell of the Baker Hostetler law firm and Adam Felsenthal, General Counsel of Great Point Partners, will discuss a report by the Compliance Committee of the New York City Bar Association that details concerns about compliance officer liability and calls on regulators to provide limitations and guidance on when a compliance officer should be charged. They will also discuss the “no under influence over chief compliance officer” provision in the SEC’s recent rule proposal relating to security-based swaps. The invite for this presentation has been sent to the members of the FIF Compliance Working Group. If you are interested in attending this presentation and do not have the invite in your calendar, please either update your profile or email us at fifinfo@fif.com.

On March 2, 2022, FIF submitted a comment letter on the request submitted by the SEC to the Office of Management and Budget for approval of an extension of the previously approved collection of information provided for in Rule 606. FIF would like to thank the members of the FIF Rule 606 Working Group for their active participation in the drafting of this comment letter.

For this week, FIF has scheduled an additional call for the CAT Transaction Reporting Working Group. The call will be on Monday March 7 at 2 pm and will focus specifically on the issue of linkage of representative and customer orders. For this week’s regularly-scheduled CAT Transaction Reporting Working Group call on Wednesday March 9 at 2 pm, FINRA CAT personnel will present, and solicit feedback, on potential approaches to enhance the CAT Transaction Reporting feedback process and reduce CAT operating costs.