FIF - Financial Information Forum

SEC Rule 15c2-11 for Fixed Income

On Thursday May 26, 2022 at 11 am ET, FIF will host a call focused on implementation challenges firms are facing as a result of the SEC’s application of Rule 15c2-11 to fixed income securities. To lead off the discussion, Jason Palsgrove of Bloomberg will discuss the Bloomberg Fixed Income Quotation Transparency Product Related to SEC Rule 15c2-11. The Working Group also will discuss how firms are defining what constitutes publishing of a fixed income quote. FIF has invited the members of the FIF TRACE/Fixed Income and Compliance Working Groups to the call. If you would like to participate on this call and are not a member of either Working Group, please contact fifinfo@fif.com.

POSTED May 23,2022

Securities Lending Transparency Working Group

The Securities Lending Transparency Working Group will meet on Tuesday May 31, 2022 at 2 pm ET. The agenda for the call will be to consider a request that FIF received from SEC staff members to discuss the comment letter on the SEC’s Securities Lending Transparency rule proposal that FIF submitted on January 19, 2022. SEC staff members have identified the following issues that they would like to discuss: reporting increment – 15 minutes/end of day/next day; phase in/implementation period; available to lend requirement/utilization rates; arranged financing; and re-hypothecation/internal loans/wholesale v retail.

POSTED May 23,2022

Additional CAT CAIS Working Group Call

FIF has scheduled an additional CAT CAIS Working Group call for this week to review responses from FINRA CAT to comments and questions previously submitted by FIF. This call is scheduled for Monday, May 16, 2022 at 11 am ET. This call is in addition to the regularly-scheduled CAIS Working Group calls on Wednesday and Friday.

POSTED May 16,2022

FIF Back Office Committee

The FIF Back Office Committee will meet on Tuesday, May 17 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.

POSTED May 16,2022

Compliance Working Group Call Focused on Trade Surveillance

At the request of several FIF member firms, FIF has scheduled a call for the Compliance Working Group that will focus on trade surveillance issues. FIF has scheduled this call for Tuesday, May 17, 2022 at 2 pm ET. If you would like to participate on this call and are not a member of the Compliance Working Group, please contact fifinfo@fif.com.

POSTED May 16,2022

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