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 29,2021
The next monthly FIF CAT Committee call is scheduled for Thursday December 2 at 2pm ET. The CAT Committee will review guidance and updates from the SROs during the prior month, current areas of focus for FIF members, and the current open issues for CAT transaction reporting and CAT CAIS reporting.
POSTED Nov 29,2021
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 of 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 and 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 newly-formed Compliance Working Group. Alternatively, you can email fifinfo@fif.com to request an invite for this presentation.
POSTED Nov 29,2021
Please join us December 7 from 5:30-8:30pm ET for an in-person joint Holiday Party of FIF and FISD Members. This event will be strictly social and there will be no FIF panel discussion, therefore, there will be a $50 charge for all of those interested in attending. The event will take place at Tavern 29 in midtown Manhattan. This event is for FIF/FISD Members exclusively and there are only 95 spots available, so secure your spot today!
After registering here, you will be sent to PayPal to pay the $50 entry fee for the event. If you have any questions, please don't hesitate to email us at fifinfo@fif.com
POSTED Nov 29,2021
FIF has scheduled its annual FIF CAT webinar for Thursday, December 7 at 4pm ET. Panel participants include Shelly Bohlin of FINRA CAT, Jon Kroeper of FINRA, Will Leahey of Refinitiv, and Mitvin Shah of Société Générale. In order to attend this webinar, please register here. If you have any questions, please email us at fifinfo@fif.com.
POSTED Nov 22,2021
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