Rule 606 Working Group
FIF has scheduled the next call for the Rule 606 Working Group for Monday August 19 at 2 pm ET. The Working Group will continue its review and discussion of a revised draft FIF letter to the SEC requesting guidance on how to…
Back Office Committee
19 August 2024
The Back Office Committee will have its next call on Tuesday August 20 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
Securities Lending Transparency Working Group
19 August 2024
FIF has scheduled the next call for the Securities Lending Transparency Working Group for Tuesday August 20 at 1 pm ET. The Working Group will continue its review of a draft FIF comment letter in response to (i) the FINRA ru…
CAT CAIS and CAT Transaction Reporting Working Groups
19 August 2024
FIF has cancelled the CAIS Working Group call for this week. The CAT Transaction Reporting Working Group call for this week will be on Wednesday August 21 at 2 pm ET.
Front Office Committee
19 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.
Data & Technology Committee
19 August 2024
The Data and Technology Committee will have its next call on Wednesday August 28 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets. The…
FINRA Trade Reporting Notice on Fractional Share Transactions
19 August 2024
FIF has scheduled a call for Tuesday September 3 at 2 pm to discuss next steps in response to the March 22 FINRA Trade Reporting Notice on Upcoming Trade Reporting Enhancements for Fractional Share Transactions. FIF submitte…
Financial Data Transparency Act
19 August 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. To join this Working Group, please update you…
Stock Plans for Corporate Clients
19 August 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. If you are interested in th…
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