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FINRA Regulatory Notice on Reporting of OTC Options Transactions

25 July 2022
On July 11, FIF held a call to discuss FINRA Regulatory Notice 22-14, “OTC Options Reporting: FINRA Requests Comment on Proposed Trade Reporting Requirements for Over-The-Counter Options Transactions”. The next call on this…
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CAIS Reporting for Institutional Accounts

25 July 2022
In addition to the regularly-scheduled Wednesday and Friday CAIS calls this week, FIF has scheduled a separate call this week to discuss CAIS reporting for institutional accounts. This call will be on Tuesday July 26 at 2 pm…
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Data and Technology Committee

25 July 2022
The FIF Data and Technology Committee will meet on Wednesday July 27, 2022 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets.
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Rule 605 Working Group

25 July 2022
FIF has scheduled the next call for the Rule 605 Working Group for Thursday July 28 at 2 pm ET. The agenda for the call will be to review a draft letter to the Director of the SEC’s Division of Trading and Markets Division r…
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Spotlight on SEC Semi-Annual Regulatory Agenda

25 July 2022
On Thursday August 4, 2022 at 11 am ET, Ignacio Sandoval of the Morgan Lewis law firm will discuss the SEC’s Semi-Annual Regulatory Agenda published in June, including planned rule adoptions, planned rule proposals and propo…
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Letter to the CAT Operating Committee on Full CAIS Implementation

18 July 2022
On July 15, 2022, FIF submitted a letter to the CAT Operating Committee relating to Full CAIS implementation.
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FIF CAT Calls are Cancelled for this Week

18 July 2022
The Wednesday FIF CAT Transaction Reporting Working Group call and the Wednesday and Friday FIF CAIS Working Group calls are cancelled for this week.
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FINRA Regulatory Notice on Reporting of OTC Options Transactions

18 July 2022
On July 11, FIF held a call to discuss FINRA Regulatory Notice 22-14, “OTC Options Reporting: FINRA Requests Comment on Proposed Trade Reporting Requirements for Over-The-Counter Options Transactions”. The next call on this…
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Front Office Committee

18 July 2022
The Front Office Committee will meet on Tuesday July 19, 2022 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges. The spotlight presenter will be Patrick D…
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