- Active Working Groups
- ATS
- CFTC Large Trader Reporting
- Consolidated Audit Trail
- Cost Basis
- Cybersecurity
- Compliance and Surveillance
- CT Plan
- Digital Asset Securities
- Emerging Technologies
- Electronic Blue Sheets
- Equity Market Regulations
- Financial Risk Regulations
- TRF / ORF
- 24x7 Trading
- Fixed Income Regulations
- Financial Data Transparency Act
- OFR Repo Reporting
- OTC Options Reporting
- Regulatory Reporting Fines
- Rule 605
- SEC Rule 606 and FINRA Rule 6470
- SEC Transition
- SEC Cyber, Reg SCI and Reg S-P
- Section 31 Fee / FINRA Regulatory Transaction Fee
- Securities Lending Transparency
- Short Sales / Reg SHO / Short Reporting
- Tax Information Reporting
- TRACE/RTRS
- Trump Accounts
- TRF Fractional Shares
- Archive Working Groups
- CAT (FIF Archive)
- FATCA (Foreign Account Tax Compliance Act)
- FINRA CARDS
- Large Trader Reporting
- Market Access
- Money Market Reform
- OATS for NMS
- ORF
- Reg E Remittance Transfer
- Regulation NMS
- Short Sale Implementation
- Single Stock Circuit Breaker
- Symbology
- Electronic Blue Sheets (EBS)
- Limit Up-Limit Down
- Mark Up Mark Down
- Large Options Positions Reporting
- Tick Size Pilot
- Retail Execution Quality
- SEC Reg Best Interest
Cybersecurity - Overview
The Financial Information Forum has launched a Cybersecurity/Reg SCI Working Group. While the working group will primarily focus on cybersecurity best practices, regulatory examinations, and responses to rule proposals affecting cyber issues, the working group is also intended to help assist member firms with Reg SCI compliance, as well as to educate and assist member firms that are not yet Reg SCI entities (Broker-Dealers, ATSs, Service Bureaus) with gaining a better understanding of Reg SCI best practices for incorporation within their firm. Some of the topics that the working group will focus upon include:
- Member information sharing regarding industry best practices around cybersecurity and data protection.
- Feedback from peer firms who have previously underwent cybersecurity sweeps.
- Review of regulatory frameworks affecting cybersecurity; including NIST Standards, the IOSCO Framework, and guidance issued by FINRA, CFTC, and the SEC.
- Review and respond to potential upcoming regulatory initiatives that focus on cybersecurity and data protection.
- Updates on testing procedures and requirements.
- Updates on additional Reg SCI requirements and the possible extension to non-ATS broker-dealers.
- Procedures and dates related to Reg SCI and BCP Industry Testing, including updates on schedules and milestones.
- Reviews and discussion on Reg SCI requirements and certification procedures.
- Provide dialogue on industry best practices regarding specific components of Reg SCI and Cybersecurity, including:
- Systems Development Lifecycle
- Change of Management Procedures
- Vendor Management
FIF is also reviewing potential overlap and impact of Reg SCI testing requirements with the efforts of our members to address their respective Business Continuity Planning (BCP) initiatives and will similarly provide assistance as needed.