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CAIS Call for Clearing Firms

29 April 2024
At the request of FIF members, FIF is planning to schedule a call on CAIS reporting by firms that clear for third-party correspondent firms. The call will focus on the CAIS reporting scenario where two clearing firms report…
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FIF In-Person Event: Hosted by OTC Markets

22 April 2024
On Monday May 6th, 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, Proces…
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SEC Rule on Short Position and Short Activity Reporting

22 April 2024
FIF has scheduled the next call for the FIF Short Sales / Reg SHO / Short Interest Reporting Working Group for Monday April 22 at 11 am ET. The Working Group will continue its review and discussion of a draft FIF letter to t…
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Front Office Committee

22 April 2024
The Front Office Committee will have its next call on Tuesday April 23 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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Rule 606 Working Group; FINRA Rule 6151 Implementation

22 April 2024
FIF has scheduled the next call for the Rule 606 Working Group for Tuesday April 23 at 1 pm ET. The Working Group will discuss implementation of FINRA Rule 6151 (centralized reporting of Rule 606(a) reports to FINRA), includ…
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Rule 605 Working Group

22 April 2024
FIF has scheduled the next call for the Rule 605 Working Group for Tuesday April 23 at 3 pm ET. The Working Group will continue its review and discussion of the changes to Rule 605 that the SEC adopted on March 6. The Workin…
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Data & Technology Committee

22 April 2024
The Data and Technology Committee will have its next call on Wednesday April 24 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 s…
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CAT CAIS and CAT Transaction Reporting Working Groups

22 April 2024
The next call for the CAT CAIS Working Group will be on Wednesday April 24 at 11 am ET. The next call for the CAT Transaction Reporting Working Group will be on Wednesday April 24 at 2 pm ET.
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FIF In-Person Event: Hosted by OTC Markets

15 April 2024
On Monday May 6th, FIF will hold an 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 “Current Regulatory Challenges for Digital Asse…
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