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Additional Weekly CAIS Working Group Call to Review Reporting Scenarios

18 October 2021
Due to the large number of issues that the CAIS Working Group is currently reviewing, FIF has scheduled a third weekly call for the CAIS Working Group to focus on the most recent updates to the CAIS CCID Reporting Scenarios…
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Spotlight Presentation on Recent SEC Fines Relating to PII

11 October 2021
On Tuesday October 12, 2021 at 11am ET, Peter Chan and Valerie Mirko of the Baker McKenzie law firm will discuss the recent SEC fines against firms for failure to protect personally identifiable information (PII) of customer…
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New FIF Compliance Working Group

11 October 2021
FIF is creating a new Compliance Working Group. To sign up for this new working group, update your profile here.
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Rule 605 for Options

11 October 2021
The SEC staff have advised FIF that the SEC is considering the expansion of Rule 605 to cover options. The SEC staff have requested input from FIF on this topic. The FIF Rule 605 Working Group is working on a set of recommen…
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Rule 606 Working Group

11 October 2021
On September 30, members of the FIF Rule 606 Working Group met with the staff of the SEC’s Division of Trading and Markets to discuss the challenges with Rule 606 look-though for options. The next meeting of the FIF Rule 606…
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Additional CAIS Working Group Meeting to Review Reporting Scenarios

11 October 2021
Because of the large number of issues that the CAIS Working Group is currently reviewing, FIF has scheduled an additional CAIS call for Monday October 11 at 11am ET. This call will focus on the continuing review of the most…
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FIF Submits Comment Letter on Short Interest Reporting

04 October 2021
On September 29, 2021, FIF submitted a comment letter on FINRA Regulatory Notice 21-19, “FINRA Requests Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”. FIF would…
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Spotlight Presentation on Recent SEC Fines Relating to PII

04 October 2021
On Tuesday, October 12, 2021 at 11am ET, Peter Chan and Valerie Mirko of the Baker McKenzie law firm will discuss the recent SEC fines against firms for failure to protect personally identifiable information (PII) of custome…
View more

New FIF Compliance Working Group

04 October 2021
FIF is creating a new Compliance Working Group. To sign up for this new working group, update your profile here.
View more

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