STA Florida Event
On Friday February 16, Howard Meyerson of FIF will be a panelist at the STA Florida Annual Conference. The title for the panel is “Electronic Trading, Surveillance, and Supervision: Regulatory Guidance and Updates Across Ass…
Additional CAT Transaction Reporting Call for this Week
12 February 2024
FIF has scheduled an additional call for the CAT Transaction Reporting Working Group for this week. On Monday February 12 at 2 pm ET, the Working Group will continue its discussion of CAT billing and reconciliation. The Mond…
Fractional Shares
12 February 2024
FINRA representatives have notified FIF that FINRA is considering changes to the TRF and ORF reporting systems to allow for reporting of fractional shares. FIF has scheduled a call for the Data and Technology Committee, the…
SEC Rule on Short Position and Short Activity Reporting
12 February 2024
FIF has scheduled a call for the FIF Short Sales / Reg SHO / Short Interest Reporting Working Group for Tuesday February 13 at 3 pm ET. The Working Group will discuss issues and questions from FIF members relating to impleme…
Rule 605 Working Group
12 February 2024
FIF has scheduled a call for the Rule 605 Working Group for Tuesday February 13 at 4 pm ET. The Working Group will review a revised draft supplemental FIF comment letter on the SEC’s rule proposal to modernize Rule 605.
TRACE Working Group
12 February 2024
FIF has scheduled a call for the TRACE Working Group for Thursday February 15 at 11 am ET. The Working Group will discuss two additional scenarios raised by an FIF member on reporting of electronic and manual orders to TRACE…
FIF Back Office Committee; Update from FICC on Centralized Clearing of Treasuries
12 February 2024
The Back Office Committee will have its next call on Tuesday February 20 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. Jim Hraska of FICC will discuss the rule…
Reporting of Securities Loans
12 February 2024
FIF has scheduled a call for the FIF Securities Lending Transparency Working Group for Tuesday February 20 at 3 pm ET. During the call, an FIF member will provide an update on its discussions with FINRA relating to implement…
Law Firm Presentation on SEC Rule to Expand the Definition of “Dealer”
12 February 2024
On Thursday February 22 at 11 am ET, Ignacio Sandoval of the Morgan Lewis law firm will review the rule adopted by the SEC to expand the definition of “dealer” under the Securities Exchange Act. FIF has invited the members o…
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