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FIF Rule 605 Working Group

01 March 2021
During October 2018, FIF Members presented recommendations to the SEC staff for the modernization of Rule 605. These recommendations, which were developed through the FIF Rule 605 Working Group, were focused on updating Rule…
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FIF TRACE Working Group Call on Federal Reserve Proposal to Expand TRACE to Depository Institutions

01 March 2021
On March 2, the FIF TRACE Working Group will meet to review a draft comment letter on a rule proposal by the Federal Reserve to expand TRACE reporting to certain depository institutions that are not broker-dealers. The comme…
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Meetings with FINRA CAT, Plan Participants and FIF Members on CAT CAIS Reporting

01 March 2021
On February 25, FIF Members participated on a call with FINRA CAT and the Plan Participants to discuss CAIS reporting for authorized traders. Also, on February 25, the FIF CAT Co-Chairs participated on a call with FINRA CAT…
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Question from FIF Member Regarding Australian Financial Services (AFS) License

01 March 2021
A FIF Member has requested feedback from other FIF Members on the question below. If you have any information on this question, please send an email to This email address is being protected from spambots. You need JavaScript…
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FIF Webinar Series on SEC Market Data Infrastructure Rule (Part 3)

22 February 2021
This series involves multiple panels for FIF Members addressing the implementation considerations of the 898 page Rule. The panels are moderated by Tom Jordan, FIF Advisory Chair. The kickoff panel on February 1st focused on…
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Upcoming Spotlight Presentations (2/22)

22 February 2021
Front Office Committee. On February 23, Mark Schaedel of Vondelpark Capital will discuss recent efforts to introduce a consolidated tape in Europe. Tax Information Reporting Working Group. On February 23, Andrew Bernknopf…
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FIF Submits Comment Letter on FINRA Proposal for Enhancements to TRACE Reporting for Treasuries

22 February 2021
On February 19, 2021, FIF submitted a comment letter to FINRA in response to FINRA’s request for comment on Enhancements to TRACE Reporting for U.S. Treasury Securities. The content of the comment letter is based on feedback…
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Rule 605 Working Group

22 February 2021
During October 2018, FIF Members presented recommendations to the SEC staff for the modernization of Rule 605. These recommendations, which were developed through the FIF Rule 605 Working Group, were focused on updating Rule…
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Short Sales Working Group

22 February 2021
At the request of FIF Members, FIF is creating a Working Group to focus on short sale interpretive and operational questions and potential enhancements to Regulation SHO. In order to join this group, update your subscription…
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