FIF has scheduled a call for Wednesday, November 24 at 1:30pm ET to discuss FIF member questions relating to the Supplemental Liquidity Schedule (SLS) recently adopted by FINRA (see FINRA Regulatory Notice 21-31). The SLS takes effect on March 1, 2022. If you are interested in participating on this call, please send a note to fifinfo@fif.com, and we will include you on the invite.
POSTED Nov 22,2021
On October 15, 2021, FINRA filed SR-FINRA-2021-029 with the SEC, “Proposed Rule Change to Amend FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)”. FIF has scheduled a call for the TRACE Working Group for Thursday December 2 at 11am ET to discuss FIF member comments on the rule filing.
POSTED Nov 22,2021
On Wednesday, December 15 at 10am ET Alaina R. Clark, Assistant Director for Stakeholder Engagement at the Cybersecurity and Infrastructure Security Agency (CISA), will present to a joint call of the FIF Cybersecurity and Compliance Working Groups. CISA is an agency within the Department of Homeland Security. Ms. Clark will discuss the role and functions of CISA, CISA’s current areas of focus, recommendations for industry members on cybersecurity processes and management, reporting of cybersecurity incidents, and opportunities for enhanced cooperation between the industry and federal regulators.
The invite for this presentation has been sent to all members of the FIF Cybersecurity Working Group and the newly-created FIF Compliance Working Group. If you are interested in participating on this call and do not have the invite in your calendar, please update your profile and add yourself to either the Cybersecurity Working Group or the Compliance Working Group. Alternatively, you can email fifinfo@fif.com to request an invite for this presentation.
POSTED Nov 22,2021
Because of the Thanksgiving holiday, for this week FIF is cancelling the regularly scheduled Wednesday and Friday CAT CAIS Working Group calls and the regularly scheduled Wednesday CAT Tech Specs Working Group call. For this week only, FIF is moving the Monday CAT Tech Specs Working Group from 2pm to 11am ET.
POSTED Nov 22,2021
On December 16, 2020, the Securities and Exchange Commission granted temporary exemptive relief, until July 31, 2023, from the CAT NMS Plan requirement to link representative orders (riskless principal/ customer facilitation orders) to the associated customer orders. Based on requests from multiple FIF members, FIF proposes to submit a request to the regulators to extend the implementation date for this requirement to July 31, 2024. On November 5, 2021, FIF sent a survey to the members of the FIF CAT Tech Specs Working Group requesting that FIF members provide additional detail relating to this issue. FIF requests that members respond to this survey by November 26. All responses are kept anonymous.
POSTED Nov 22,2021
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