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FIF Survey on Rule 605 for Options

09 August 2021
Later today, FIF will send 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 pro…
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FIF Rule 606 Working Group

02 August 2021
The FIF Rule 606 Working Group met on July 29, 2021 to discuss look-through for Rule 606 reporting of options routing and to review a draft request for interpretive guidance relating to this issue. FIF will send out a survey…
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FIF Survey on Reporting of accountHolderType in CAT Allocation Events

02 August 2021
On July 22, 2021, FIF sent a survey to FIF members requesting feedback on the reporting of accountHolderType in CAT Allocation events in place of reporting TIDType. FIF requested that firms respond by July 30, 2021. FIF woul…
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Rule 605 Working Group

02 August 2021
The FIF Rule 605 Working Group met on July 29, 2021 to discuss FIF’s July 16, 2021 call with the SEC staff relating to Rule 605 for options. The July 16 call was requested by the SEC staff, who are considering the expansion…
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CAIS Sub-group Call for Clearing Firms

02 August 2021
An FIF member that is a clearing firm has requested that FIF schedule a sub-group call to discuss CAIS reporting by clearing firms for accounts that are not active. FIF has scheduled this call for Tuesday, August 3 at 2 pm E…
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FIF Rule 606 Working Group

26 July 2021
The FIF Rule 606 Working Group will meet on Thursday, July 29, 2021 at 11 am ET to provide an update on FIF’s recent discussions with the SEC staff. In June, FIF submitted to the SEC staff a request for written guidance rela…
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Spotlight Presentation on Short Selling

26 July 2021
On Tuesday, July 27 at 11 am ET, Professor James Angel of the Georgetown University McDonough School of Business will present to the FIF Front Office Committee his views on the recommendations for the SEC’s regulation of sho…
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FIF Survey on Reporting of accountHolderType in CAT Allocation Events

26 July 2021
On July 22, 2021, FIF sent a survey to FIF members requesting feedback on the reporting of accountHolderType in CAT Allocation events in place of reporting TIDType. FIF requests that FIF members provide their responses to th…
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FIF Call with SEC Staff on Rule 605 for Options

26 July 2021
On July 16, 2021, FIF members participated on a call with SEC staff to discuss Rule 605 for options. This call was requested by the SEC staff, who are considering the expansion of Rule 605 to cover options. The next meeting…
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