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Upcoming FF Meetings with Regulators

12 July 2021
FIF has an upcoming meeting with the SEC to discuss Rule 605 for options. FIF has an upcoming meeting with FINRA CAT to discuss open issues on CAT CAIS reporting. FIF has an upcoming meeting with the SEC to discuss inter…
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Register Today - FIF Webinar on SEC Market Access Rule

06 July 2021
On July 8 at 4 pm ET, FIF will host a webinar on the SEC’s market access rule (Rule 15c3-5). This webinar will focus on the rule's practical aspects, setting credit limits, the handling of market orders, the process for over…
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Reg SHO Working Group 7/6

06 July 2021
The Reg SHO Working Group will meet on July 8 at 2 pm ET to discuss a comment letter on FINRA Regulatory Notice 21-19 relating to “Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Report…
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CAT Tech Specs Sub-Group call on Options Error Scenarios

06 July 2021
Today at 2 pm ET, FIF will host a sub-group call on CAT reporting for options error scenarios. Please contact us at This email address is being protected from spambots. You need JavaScript enabled to view it. if you would li…
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FIF Webinar on SEC Market Access Rule

28 June 2021
On July 8 at 4 pm ET, FIF will host a webinar on the SEC’s market access rule (Rule 15c3-5). This webinar will focus on the rule's practical aspects, setting credit limits, the handling of market orders, the process for over…
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Upcoming Data & Technology Committee Spotlight

28 June 2021
On June 30 at 10am ET, Patrick Flannery of MayStreet will discuss “Market Data Delivery in the Cloud - Lessons Learned” as the spotlight topic on this months call. Following the spotlight topic, the co-chairs will go through…
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FINRA Regulatory Notice on Short Interest and Short Sale Reporting

28 June 2021
On July 1 at 11 am (ET), Mark Fitterman and Gavin Meyers of the Baker McKenzie law firm will present on FINRA Regulatory Notice 21-19 relating to “Short Interest Position Reporting Enhancements and Other Changes Related to S…
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FIF Letter to SEC Requesting Additional Interpretive Guidance on Rule 606

28 June 2021
On June 24, FIF submitted a letter to the SEC requesting that the SEC issue updated FAQs on various Rule 606 topics, including options look-through, the Rule 606 definition of customer, and various ATS reporting scenarios.&n…
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FIF Call with the SROs and FINRA CAT to Extend the Date for Reporting tidType

28 June 2021
On June 24, FIF participated on a call with the SROs and FINRA CAT to discuss an extension of the date for reporting tidType in CAT Allocation events.
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