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FINRA Proposal for Enhancements to TRACE Reporting for Treasuries

08 February 2021
On December 23, 2020, FINRA issued a request for comment on Enhancements to TRACE Reporting for U.S. Treasury Securities. On February 2 FIF held a call to review a revised draft of the comment letter on the FINRA Regulatory…
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FIF Webinar Series on SEC Market Data Infrastructure Rule

08 February 2021
The series will include multiple webinars for FIF Members that will address the implementation considerations of the 898 page Rule. The kickoff panel on February 1 covered the Rule Overview and was presented by Wayne Aaron o…
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Responses to FINRA CAT

01 February 2021
On January 26, FIF submitted comments to FINRA CAT in response to the CAT CAIS Specifications published by FINRA CAT on January 19. On January 27, FIF submitted comments and questions to FINRA CAT based on issues raised by F…
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FINRA Proposal for Enhancements to TRACE Reporting for Treasuries

01 February 2021
On December 23, 2020, FINRA issued a request for comment on Enhancements to TRACE Reporting for U.S. Treasury Securities. The proposed changes could require significant changes to trade execution and reporting systems for U…
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Update on Executive Orders 13959 and 13974

01 February 2021
On January 28, 2021, OFAC issued General License No. 1A and new FAQs 878 and 879 providing relief relating to an entity whose name closely matches, but does not exactly match, the name of a Communist Chinese military company.
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FIF Webinar Series on SEC Market Data Infrastructure Rule

01 February 2021
The series will be multiple panels for FIF Members that will address the implementation considerations of the 898 page Rule. The kickoff panel later today at 4PM ET will focus on the Rule Overview and will be presented by Wa…
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FIF Spotlight Presentations (1/25)

25 January 2021
FIF Front Office Committee. On January 26 at 11am ET, Ari Burstein, President of Capital Markets Strategies, and Greg Mesack, Government Affairs Consultant at Gray Robinson, will present to the Front Office Committee on the…
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Responses to FINRA CAT

25 January 2021
On January 19,  FIF submitted responses to FINRA CAT relating to the order receipt and acceptance process. On January 20 FIF submitted comments to FINRA CAT relating to the CAIS Customer and Account Types proposed by th…
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FINRA Proposal for Enhancements to TRACE Reporting for Treasuries

25 January 2021
On December 23, 2020, FINRA issued a request for comment on Enhancements to TRACE Reporting for U.S. Treasury Securities. The proposed changes could require significant changes to trade execution and reporting systems for U…
View more

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