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FINRA Regulatory Notice on Short Interest Reporting: Extension of Comment Period

26 July 2021
During June, FINRA published Regulatory Notice 21-19, “Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”. The FIF Reg SHO/Short Interest Reporting Working Group is working on a…
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FINRA Regulatory Notice on Short Interest Reporting

19 July 2021
The next meeting of the FIF Reg SHO Working Group will be Tuesday July 20 at 2 pm (ET). The Working Group will continue its review of FINRA Regulatory Notice 21-19, “Short Interest Position Reporting Enhancements and Other C…
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Spotlight Presentation on Short Selling

19 July 2021
On 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 short sellin…
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FIF Call with SEC Staff on Rule 606

19 July 2021
On July 16, 2021, FIF and the Chair of the FIF Rule 606 Working Group participated on a call with SEC staff to discuss requests for written guidance submitted by FIF relating to reporting of options routing, reporting of var…
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FIF Call with SEC Staff on Rule 605 for Options

19 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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FIF Call with FINRA CAT on CAIS

19 July 2021
On July 16, 2021, FIF Members participated on a call with FINRA CAT personnel during which FINRA CAT personnel provided feedback on questions and comments previously submitted by FIF. FIF will review this feedback on the nex…
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FINRA Regulatory Notice on Short Interest Reporting

12 July 2021
On July 8, the FIF Reg SHO Working Group held its first call to discuss a comment letter on FINRA Regulatory Notice 21-19, “Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”. C…
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FIF Webinar on the SEC Market Access Rule

12 July 2021
Last week on July 8th, FIF hosted an engaging webinar on the SEC’s market access rule (Rule 15c3-5). FIF has received many positive reviews on the webinar and we would like to thank Wayne Aaron, Lillian Tan and Jim Dolan for…
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Disclosing Capacity on Preferenced Orders Sent to an ATS

12 July 2021
An FIF Member has raised a question about how to report capacity on a Rule 10b-10 confirmation when a firm routes orders to an ATS and the orders can only execute against orders routed from other desks at the same routing fi…
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