News

Options Clearing Corporation Cyber Proposal

17 April 2023

FIF has scheduled a call for the Cybersecurity Working Group and the Compliance and Surveillance Working Group for Monday April 17 at 4 pm ET. The agenda for the call will be to discuss a rule filing submitted by The Options…

FINRA CAT Tech Specs Working Group Call

17 April 2023

FINRA CAT has scheduled a Tech Specs Working Group call for Tuesday April 18 at 9 am ET. Presumably on this call FINRA CAT will review the April 11 updates to the CAT Technical Specifications document. FIF has forwarded the…

Back Office Committee

17 April 2023

The Back Office Committee will have its next call on Tuesday April 18 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.

CAT Transaction Reporting: CAT Reporting for RFQ Responses

17 April 2023

FIF has scheduled an additional call this week for the CAT Transaction Reporting Group to continue the discussion of CAT reporting for RFQ responses. This call is scheduled for Tuesday April 18 at 3 pm ET.

SEC Cyber, Reg SCI and Reg S-P Rule Proposals

17 April 2023

FIF has scheduled a call for Thursday April 20 at 3 pm ET to continue the review and discussion of the SEC’s recent cybersecurity, Reg SCI and Reg S-P rule proposals. FIF has invited members of the following Working Groups t…

SEC Rule Proposal to Require Annual Financial Reports to be Filed in Inline XBRL Format

17 April 2023

On March 21 the SEC proposed a series of rule changes that would require broker-dealers to file annual financial reports (Form X-17A-5 Part III) and certain other reports (including Form 17-H) in Inline XBRL format. A FIF me…

SEC Cyber, Reg SCI and Reg S-P Rule Proposals

10 April 2023

FIF has scheduled a call for Tuesday April 11 at 11 am ET to review and discuss the SEC’s recent cyber, Reg SCI and Reg S-P rule proposals. The call will start with a review and discussion of the SEC’s cyber proposal and cov…

Rule 606 Working Group: FINRA Rule Filing on OTC Routing Reports

10 April 2023

FIF has scheduled the next call for the Rule 606 Working Group for Tuesday April 11 at 2 pm ET. The Working Group will review and discuss the first draft of an FIF response letter on the FINRA rule filing on disclosure of or…

TRACE Working Group

10 April 2023

FIF has scheduled the next call for the TRACE Working Group for Thursday April 13 at 10 am ET. The Working Group will discuss TRACE reporting of the portfolio trade modifier, the importance of the MSRB enabling direct report…

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