FIF FPL Regulatory Reporting

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Archive Documents

Mar 23, 2011 - FIF/FPL Regulatory Reporting Meeting Agenda

Meeting Agenda including OATS Expansion to NMS Stocks, Market Access, CESR, FINRA TRACE, Regulations Pending Approval and Additional Activities.

Posted Mar 21, 2011

Feb 2, 2011 - FIF/FPL Regulatory Reporting Meeting Agenda

Meeting Agenda containing Risk Management, Short Sale Updates, CESR, OATS Expansion, Latency, Regulations Pending Approval, IRS, FINRA TRACE, Tri-Party Repo Infrastructure Reform and Additional Activities.

Posted Jan 30, 2011

Oct 27, 2010 - FIF/FPL Regulatory Reporting Meeting Agenda

Meeting Agenda including Short Sale Updates, CESR, OATS Expansion, FINRA TRACE, SEC and Additional Activities.

Posted Oct 25, 2010

Sep 15, 2010 - FIF/FPL Regulatory Reporting Meeting Agenda

Posted Sep 13, 2010

FIF/FPL Short Sale Exemption Reason Code Proposal

Draft Proposal on addition of reason code values for Short Sale Exempt on Execution and Trade messages

Posted Jul 25, 2011