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FIF Survey on Rule 605 for Options

13 September 2021
On August 10, 2021, FIF sent a survey to FIF members on Rule 605 for options. This is an opportunity for FIF members to provide input to the SEC before the SEC issues a rule proposal in this area. FIF requests that members p…
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Short Interest Reporting

13 September 2021
On September 23, 2021 at 11am ET, the FIF Reg SHO/Short Interest Reporting Working Group will discuss any final changes to the draft FIF comment letter on FINRA Regulatory Notice 21-19, “FINRA Requests Comment on Short Inter…
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FIF to Host Webinars on Best Execution Across Asset Classes

07 September 2021
FIF will be hosting two webinars on best execution across asset classes. The first webinar, on Monday, September 27, 2021 from 4-5 pm ET, will focus on best execution for equities and options. The second webinar, on Tuesday…
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FIF Survey on Rule 605 for Options

07 September 2021
On August 10, 2021, FIF sent a survey to FIF members on Rule 605 for options. This is an opportunity for FIF members to provide input to the SEC before the SEC issues a rule proposal in this area. FIF requests that members p…
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Monthly FIF CAT Committee Call

07 September 2021
Because of the Labor Day weekend, the monthly CAT Committee call for September has been moved from September 2 to September 9, 2021 at 2pm ET.
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Short Interest Reporting

07 September 2021
On September 9, 2021 at 11am ET, the FIF Reg SHO/Short Interest Reporting Working Group will continue its discussion of a draft comment letter on FINRA Regulatory Notice 21-19, “FINRA Requests Comment on Short Interest Posit…
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FIF Rule 606 Working Group

07 September 2021
After a series of Working Group discussions, FIF has requested calls with the SEC Division of Trading and Markets personnel and the SEC Commissioners and their advisers to discuss look-through for Rule 606 reporting of optio…
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FIF Survey on CAT CAIS Open Issues

07 September 2021
On August 12, 2021, FIF sent out a survey request to get feedback from FIF member firms on what they consider to be the most important open issues relating to CAT CAIS. The purpose for this survey is to assist the Working Gr…
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FIF Submits Feedback to FINRA CAT on Reporting of registeredRepCRD and branchOfficeCRD for CAIS

07 September 2021
On August 27, 2021, FIF members participated on a call with FINRA CAT and the SROs to discuss the reporting of the registeredRepCRD and branchOfficeCRD fields for CAIS. As a follow-up, FIF sent a survey to members of the CAI…
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