Meeting with FINRA CAT, Plan Participants and FIF Members on CAT CAIS Reporting
On February 19, FIF members participated on a call with FINRA CAT and the Plan Participants to discuss CAIS reporting for non-US persons.
Meetings with FINRA CAT
16 February 2021
On February 5, FIF and the FIF CAIS Working Group Co-Chairs participated in a meeting with FINRA CAT to discuss the creation of an industry working group to address issues relating to customer identifiers as FINRA CAT starts…
FINRA Proposal for Enhancements to TRACE Reporting for Treasuries
16 February 2021
On December 23, 2020, FINRA issued a request for comment on Enhancements to TRACE Reporting for U.S. Treasury Securities. FIF has drafted a comment letter on the rule proposal based on feedback from participants of the FIF T…
FIF Short Sales Working Group
16 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. If you are interested in joining this new group, plea…
Rule 605 Working Group
16 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…
FIF Webinar Series on SEC Market Data Infrastructure Rule
16 February 2021
The series will be multiple panels for FIF Members that will address the implementation considerations of the 898 page Rule. The panels are moderated by Tom Jordan, FIF Advisory Chair. The kickoff panel on February 1st was t…
Upcoming Spotlight Presentations (2/16)
16 February 2021
Back Office Committee. On February 16, Professor James Angel of the Georgetown McDonough School of Business will discuss his recommended changes to stock lending, buy-in, short sale reporting and settlement rules in respon…
Upcoming Spotlight Presentations (2/8)
08 February 2021
Back Office Committee. On February 16, Professor James Angel of the Georgetown McDonough School of Business will discuss his recommended changes to stock lending, buy-in and settlement rules in response to the recent tradi…
Meeting with FINRA CAT on CAIS; submissions to FINRA CAT
08 February 2021
On February 5 FIF and the FIF CAIS Working Group Co-Chairs participated in a meeting with FINRA CAT to discuss the creation of an industry working group to address issues relating to customer identifiers as FINRA CAT starts…
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