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FIF Submits Letter to SEC in Response to Rule 605 FAQs and Exemptive Order

04 May 2026
On April 29, FIF submitted a letter to the SEC with comments and questions in response to the Rule 605 FAQs and exemptive order published by the SEC on April 1. FIF would like to thank the members of the Rule 605 Working Gro…
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FIF Submits Prioritization of Prior CAT Recommendations

04 May 2026
On April 28, FIF submitted a letter to CAT LLC prioritizing previously submitted recommendations. FIF would like to thank the members of FIF CAT Transaction Reporting and Reference Database Working Groups for their contribut…
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Rule 605 Working Group

04 May 2026
The Rule 605 Working Group will have its next call on Monday May 4 at 2 pm ET. The Working Group will continue its discussion of issues and questions relating to the Rule 605 amendments that will take effect on August 1.
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CAT Transaction Reporting and CAT Reference Database Working Groups

04 May 2026
FIF has scheduled two calls for the CAT Transaction Reporting and CAT Reference Database Working Groups for this week. The first call will be on Tuesday May 5 at 1 pm ET and will focus on the sections of the CAT Concept Rele…
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TRACE / RTRS Working Group

04 May 2026
The next call for the TRACE / RTRS Working Group will be on Tuesday May 5 at 3 pm ET. The Working Group will discuss (i) a recent call with the MSRB relating to direct reporting of munis, (ii) a recent rule filing by FINRA t…
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Regulatory Implementations Calendar

04 May 2026
FIF has scheduled a joint call for the SEC FINRA Regulations Working Group and the Compliance and Surveillance Working Group for Wednesday May 6 at 11 am ET. The Workings Groups will review an updated Regulatory Implementati…
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CAT Monthly Update Working Group Call

04 May 2026
The CAT Monthly Update Working Group call for May will be on Thursday May 7 at 2 pm ET. The Working Group will review guidance and updates from CAT LLC and FINRA CAT during the prior month. The Working Group will also review…
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FINRA Margin Rule Amendments; FINRA Proposed Amendments to Short Interest Reporting

04 May 2026
FIF has scheduled a joint call for the Short Sales / Reg SHO / Short Reporting Working Group and the Compliance and Surveillance Working Group for Monday May 11 at 2 pm ET. The Working Groups will discuss (i) the SEC’s appro…
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FIF Webinar on Electronic Communications Compliance

04 May 2026
FIF has scheduled a webinar on Electronic Communications Compliance for Tuesday May 19 at 2 pm ET. The moderator for the webinar will be Holly Dito of Daiwa. The panelists will be Meredith Abrams of the Simpson Thacher law f…
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