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Law Firm Presentation on FINRA Rule Filing for SLATE (Securities Lending and Transparency Engine)

13 May 2024
On Monday May 13 at 2 pm ET, Ignacio Sandoval of the Orrick law firm will review the recent FINRA rule filing for the SLATE (Securities Lending and Transparency Engine) system to be developed and operated by FINRA. FIF has i…
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CAT CAIS and CAT Transaction Reporting Working Groups

13 May 2024
FIF has scheduled an additional call this week for the CAT Transaction Reporting Working Group. The call will be on Thursday May 16 at 11 am ET and will focus on reviewing a draft of a CAT NMS Plan amendment to be filed by t…
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SEC Rule on Short Position and Short Activity Reporting

13 May 2024
FIF has scheduled the next call for the FIF Short Sales / Reg SHO / Short Reporting Working Group for Thursday May 16 at 1 pm ET. The Working Group will continue its review and discussion of a draft FIF letter to the SEC req…
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Rule 605 Working Group

13 May 2024
FIF has scheduled the next call for the Rule 605 Working Group for Thursday May 16 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…
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Reporting of Bilateral Repos that are not Centrally Cleared

13 May 2024
FIF has scheduled a call for the OFR Repo Reporting Working Group for Monday May 20 at 2 pm ET. The agenda for the call will be to review and discuss the documentation published by the Treasury Department’s Office of Financi…
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FIF Event

13 May 2024
FIF would like to send out a big thanks to OTC Markets Group for hosting and Fundamental Interactions for sponsoring the networking hour last week at our sold out event in New York City. The capacity crowd enjoyed insights f…
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FIF In-Person Event: Hosted by OTC Markets

06 May 2024
Later today FIF will hold an in-person event at the offices of OTC Markets (300 Vesey Street, New York, NY 10282). There will be two panels. Our first panel of the evening will be “Digital Assets:  Regulations, Processi…
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FIF Submits Letter to FINRA on Implementation of FINRA Rule 6151

06 May 2024
On May 1 FIF submitted a letter to FINRA with open issues and questions relating to the implementation of FINRA Rule 6151. FINRA Rule 6151 provides for centralized reporting of Rule 606(a) reports with FINRA.
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FIF Submits Letter to FINRA on Implementation of FINRA Rule 6151

06 May 2024
On May 1 FIF submitted a letter to FINRA with open issues and questions relating to the implementation of FINRA Rule 6151. FINRA Rule 6151 provides for centralized reporting of Rule 606(a) reports with FINRA.
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