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Stock Plans for Corporate Clients

03 September 2024
An FIF member would like to discuss with other members managing stock plans for corporate clients, including whether they manage the activity at the omnibus level or the individual employee level. FIF has scheduled a ½-hour…
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FIF CAT Monthly Update Working Group

03 September 2024
The CAT Monthly Update Working Group call for September will be on Thursday September 5 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting…
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Financial Data Transparency Act

03 September 2024
FIF has created a new Working Group to discuss the recent joint rule proposal by the SEC and other financial regulatory agencies to implement the Financial Data Transparency Act. FIF has scheduled the first call for this Wor…
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Emerging Technologies Working Group

03 September 2024
The next call for the Emerging Technologies Working Group will be on Tuesday September 10 at 10 am ET. As the spotlight topic, representatives from Lightbits will present on “AI and the Cloud: How to get Insight from Unstruc…
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Digital Asset Securities Working Group

03 September 2024
FIF has scheduled the next call for the Digital Asset Securities Working Group for Tuesday September 10 at 11 am ET. Shawn Sloves of Fundamental Interactions will continue his review of open issues for broader adoption of di…
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FIF Submits Letter to the SEC on Rule 606(a) Reporting

26 August 2024
On August 21 FIF submitted a letter to the SEC requesting guidance on how to calculate and report the percentage of orders routed to different venues for Rule 606(a) reporting. FIF would like to thank the members of the Rule…
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FIF Submits Letter to the Treasury Department’s Office of Financial Research on Repo Reporting

26 August 2024
On August 22 FIF submitted a follow-up letter to the Treasury Department’s Office of Financial Research (the OFR) with additional questions relating to implementation of the new requirement to report to the OFR transactions…
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FIF Submits Comment Letter on the FINRA Rule Filing for SLATE and the SLATE Participant Specification

26 August 2024
On August 23 FIF submitted a comment letter to the SEC on the FINRA rule filing to establish the Securities Lending and Transparency Engine (SLATE) system for reporting securities loan transactions. The FIF comment letter al…
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Front Office Committee

26 August 2024
The Front Office Committee will have its next call on Tuesday August 27 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.
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