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CAT CAIS and CAT Transaction Reporting Working Groups

03 June 2024
FIF has scheduled an additional call this week for the CAT Transaction Reporting Working Group. The call will be on Tuesday June 4 at 1 pm ET and will focus on reviewing and discussing a draft FIF exemptive request to the SE…
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Rule 605 Working Group

03 June 2024
FIF has scheduled the next call for the Rule 605 Working Group for Tuesday June 4 at 3 pm ET. The Working Group will continue its review and discussion of a draft FIF comment letter to the SEC relating to implementation of t…
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Residential Supervisory Locations; Remote Inspections Pilot

03 June 2024
FIF has scheduled a call for the Residential Supervisory Locations subgroup for Thursday June 6 at 11 am ET. The Working Group will discuss questions from FIF members in response to recent guidance published by FINRA and rec…
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CAT Monthly Update Working Group

03 June 2024
The CAT Monthly Update Working Group call for June will be on Thursday June 6 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting, CAT CAIS…
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SEC Rule on Short Position and Short Activity Reporting

03 June 2024
FIF has scheduled the next call for the FIF Short Sales / Reg SHO / Short Reporting Working Group for Thursday June 6 at 3 pm ET. The Working Group will continue its review and discussion of a draft FIF letter to the SEC req…
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CFTC Amendments to Large Trader Reporting Requirements

03 June 2024
An FIF member would like to discuss the CFTC’s recent amendments to the CFTC Large Trader Reporting requirements. If you are interested in this topic, please send a note to This email address is being protected from spambots…
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Front Office Committee

28 May 2024
The Front Office Committee will have its next call on Tuesday May 28 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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CAT CAIS and CAT Transaction Reporting Working Groups

28 May 2024
FIF has scheduled an additional call this week for the CAT Transaction Reporting Working Group. The call will be on Tuesday May 28 at 1 pm ET and will focus on reviewing a draft FIF exemptive request relating to linkage of r…
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Rule 605 Working Group

28 May 2024
FIF has scheduled the next call for the Rule 605 Working Group for Tuesday May 28 at 3 pm ET. The Working Group will continue its review and discussion of a draft FIF comment letter to the SEC relating to implementation of t…
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