FIF Front Office Committee
The FIF Front Office Committee will meet on Tuesday, December 14 at 11 am et to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.
Presentation by CISA (Cybersecurity and Infrastructure Security Agency) to Cybersecurity and Compliance Working Groups
13 December 2021
On Wednesday December 15 at 10am ET, Alaina R. Clark, Assistant Director for Stakeholder Engagement at the Cybersecurity and Infrastructure Security Agency (CISA), will present to a joint call of the FIF Cybersecurity and Co…
TRACE Working Group: FINRA Rule Filings to Amend TRACE Reporting for ATS Trades, Delayed Treasury Spot Trades and Portfolio Trades
13 December 2021
On November 23, 2021, FINRA filed SR-FINRA-2021-029 with the SEC, “Proposed Rule Change to Amend FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)”. On Dece…
FINRA Supplemental Liquidity Schedule (SLS)
13 December 2021
On December 7, 2021, FIF submitted to FINRA additional requests from FIF members for interpretive guidance relating to the Supplemental Liquidity Schedule (SLS) recently adopted by FINRA (see FINRA Regulatory Notice 21-31)…
Annual FIF CAT Webinar
13 December 2021
Last week FIF held it's annual Year-End CAT Webinar. FIF Advisory Chair, Tom Jordan, moderated a strong panel where we took a look back to the retirement of OATS, important accomplishments in CAT for 2021 and we looked…
Annual FIF CAT Webinar
06 December 2021
FIF has scheduled the Annual FIF CAT Webinar for Thursday December 9 at 4pm ET. The panel participants are Shelly Bohlin of FINRA CAT, Jon Kroeper of FINRA, Will Leahey of Refinitiv, and Mitvin Shah of Société Générale. Tom…
FIF Submits Comment Letter to FINRA on Proposed OTC Routing Reports
06 December 2021
On December 2, 2021, FIF submitted a comment letter in response to FINRA Regulatory Notice 21-35, “FINRA Requests Comment on Proposed Order Routing Disclosure Requirements for OTC Equity Securities and Potential Steps to Fac…
New Securities Lending Transparency Working Group
06 December 2021
FIF has set up a new Securities Lending Transparency Working Group. This Working Group will discuss and prepare a comment letter on the SEC’s November 18 rule proposal to create a new reporting system for securities lending…
TRACE Working Group: FINRA Rule Filings to Amend TRACE Reporting for ATS Trades, Delayed Treasury Spot Trades and Portfolio Trades
06 December 2021
On November 23, 2021, FINRA filed SR-FINRA-2021-029 with the SEC, “Proposed Rule Change to Amend FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)”. On Dece…
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