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FIF Submits Comment Letter on Proposed OTC Routing Reports

27 December 2022
On December 20, FIF submitted a comment letter to the SEC on the rule filing submitted by FINRA on Disclosure of Order Routing Information for OTC Equities (SR-FINRA-2022-031). FIF would like to thank the members of the Rule…
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FIF Rule 606 Working Group

27 December 2022
FIF has scheduled the next Rule 606 Working Group call for Thursday January 5 at 11 am ET. The agenda for the call will be to discuss next steps relating to FINRA’s rule filing with the SEC on OTC routing disclosures and to…
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CAT Monthly Update Working Group Call

27 December 2022
The FIF CAT Monthly Update Working Group call for January will be on Thursday January 5 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT transaction reporting…
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TRACE/Fixed Income Working Group: MSRB RTRS Reporting

27 December 2022
At the request of MSRB staff, on December 20, 2022 FIF and the FIF TRACE Co-Chairs participated on a call with MSRB representatives to discuss the comment letter that FIF submitted in response to MSRB Notice 2022-07 (“Reques…
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TRACE/Fixed Income Working Group: TRACE reporting

27 December 2022
FIF has scheduled an additional call for the TRACE/Fixed Income Working Group for Monday January 9 at 2 pm ET. The agenda for the call will be to review the first draft of a comment letter on FINRA Regulatory Notice 22-26 (“…
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Rule 605 Working Group

27 December 2022
The next call for the Rule 605 Working Group will be on Tuesday January 10 at 2 pm ET. The agenda for the call will be to discuss the SEC’s recent rule proposal on Disclosure of Order Execution Information. For this call onl…
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FIF Cited in SEC 605 Release

19 December 2022
Due to years of effort from FIF and its Members, FIF was cited 72 times in the recent SEC Rule 605 release. Our relationship with the regulators continues to be a benefit of FIF Membership. FIF plans to hold 605 working grou…
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Rule 606 Working Group

19 December 2022
The next call for the Rule 606 Working Group will be on Monday December 19 at 2 pm ET. The Working Group will continue its review of a draft FIF comment letter on the rule filing submitted by FINRA to the SEC on Disclosure o…
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CAT and CAIS Calls for This Week and Next Week

19 December 2022
FIF has cancelled the CAT Transaction Reporting call for this Wednesday (December 21), the CAIS call for this Friday (December 23) and the CAT Transaction Reporting and CAIS calls for next week (December 28 and 30). FIF will…
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