News

Regulatory Reporting Fines for 2022 and 2023

06 November 2023

FIF has scheduled a call for Thursday November 9 at 2 pm ET to continue the review of regulatory reporting fines for 2022 and 2023. The Working Group will also review a summary of findings for each regulatory report, includi…

Electronic Recordkeeping

06 November 2023

An FIF member would like to discuss with other members the requirement under SEC Rule 17a-11(c) for a broker-dealer to provide same-day notice to the SEC and FINRA if the firm fails to make and keep current any books and rec…

FIF Chicago Event In Pictures

01 November 2023

FIF Chicago Event

31 October 2023

Yesterday FIF held its largest Chicago event to date in our long history of partnering with Cboe Global Markets. There were two panels, one focusing on regulation and compliance, and the other focusing on trading technology…

FIF Submits Letters to the CAT Plan Participants and FINRA CAT

30 October 2023

On October 26, FIF submitted letters to the CAT Plan Participants and FINRA CAT on (i) CAT reporting for non-executable RFQ responses, and (ii) data requested by FIF members for reconciliation of CAT invoices.

SEC Rule on Short Position and Short Activity Reporting

30 October 2023

FIF has scheduled a call for Thursday November 2 at 11 am ET to review the SEC’s recent adoption of a rule to require monthly reporting of short positions and short activity. FIF has invited members of the FIF Short Sales /…

CAT Monthly Update Working Group Call

30 October 2023

The FIF CAT Monthly Update Working Group call for November will be on Thursday November 2 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporti…

Reporting of Securities Loans

30 October 2023

FIF has scheduled the next call for the FIF Securities Lending Transparency Working Group for Monday November 6 at 2 pm ET. The agenda for the call will be to continue the review and discussion of the SEC’s recently-adopted…

Rule 606 Working Group

30 October 2023

FIF has scheduled the next call for the FIF Rule 606 Working Group for Monday November 6 at 3:30 pm ET to continue the discussion of Rule 606 reporting for the pass-through of CAT fees.

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