FIF has scheduled a call for Monday July 31 at 1 pm ET to discuss processing and reporting for a scenario where a customer receives a fractional share or fractional bond as a result of a corporate action, and the fractional share or fractional bond allocation is subsequently liquidated as an account maintenance function. If you would like to participate on this call and have not previously notified FIF of your interest in this topic, please send a note to fifinfo@fif.com.
POSTED Jul 31,2023
FIF has scheduled an additional call this week for the CAT Transaction Reporting Working Group. The call will be on Monday July 31 at 2 pm ET. The agenda for the call will be to review and make final edits to a comment letter to the SEC on CAT costs. The FIF CAT Transaction Reporting Working Group call on Wednesday August 2 at 2 pm will focus on CAT reporting for RFQ responses.
POSTED Jul 31,2023
FIF has scheduled a call for Tuesday August 1 at 2 pm ET to discuss enhancing the reconciliation process for Section 31 fees, including a proposal to request that FINRA and the other SROs provide clearing firms with a monthly report of trade executions and the amount charged for each trade execution. If you would like to participate on this call and have not previously notified FIF of your interest in this topic, please send a note to fifinfo@fif.com.
POSTED Jul 31,2023
FIF has scheduled a call for Thursday August 3 at 1 pm ET to continue the discussion of the recent amendments to FINRA Rule 2231 (Customer Account Statements). More specifically, the group will discuss new Interpretation .07 (Logos, Trademarks, etc.) and any other issues relating to FINRA Rule 2231 that participants want to raise. If you would like to participate on this call and have not previously notified FIF of your interest in this topic, please send a note to fifinfo@fif.com.
POSTED Jul 31,2023
The FIF CAT Monthly Update Working Group call for August will be on Thursday August 3 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting and CAT CAIS reporting during the prior month. The Working Group will also review the current areas of focus for FIF members and the current open issues for CAT Transaction Reporting and CAT CAIS reporting.
POSTED Jul 31,2023
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