30 September, 2019
Working Group Updates 9/30/19
30 September, 2019
- FIF Regulatory Notice 19-27 - Financial Exploitation of Seniors - FIF continued review the rules under FINRA's retrospective rule review of current rules in effect that are designed to protect senior investors from financial exploitation. FIF will review a draft of our comment letter in response to Regulatory Notice 19-27 on Thursday, October 3 at 10:00am et.
- FIF TRACE Working Group - FIF reviewed the draft of version of FIF's comments on Regulatory Notice 19-25 and requested additional comments and feedback. FIF submitted the final letter to FINRA on Tuesday, September 24.
- FIF Front Office Committee - FIF reviewed several notices, rule proposals, and updates focusing on potential impacts to front office trading technology. Please find this month's agenda here.
- FIF Data & Technology Committee Meeting - FIF had a spotlight presentation on Cboe C1 Migration. In addition, FIF covered the monthly Market Data Capacity Reports as well as summarized exchange and SIP technical notices and updates, and reviewed recent or upcoming regulations that impact market data.
- FIF CAT Committee - FIF provided their interpretation of FINRA CAT's responses from the Q&A Session and went over the additional detail provided on FINRA's CAT Connectivity Webinar. FIF also provided a status update on too late to cancel scenarios and an initial review of FIF response to SEC's proposed amendments to the CAT NMS Plan.
- FIF CAT Tech Spec Working Group - FIF performed a final review of the scope of challenges and intended proposal regarding too late to cancel scenarios and answered remaining questions on the CAT Tech Spec/ Scenarios Document.
Eduard Kotlyar