- 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
Emerging Technologies - Overview
This working group will focus on the industry adoption and implications of emerging technologies, including but not limited to: AI, cloud, quantum computing, hosting/co-location and 3rd party vendor onboarding/certification