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FIF Sends Comment Letter on CAT Linkage Compliance Dates

19 October 2020
On October 15, 2020, FIF submitted a letter to the CAT Operating Committee requesting an extension from October 26, 2020 to December 31, 2020 of the compliance date for requiring Industry Members to correct equity interfirm…
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FINRA CAT Posts Exchange Contact Information for Linkage Errors

12 October 2020
Based on requests from FIF and our Members, FINRA CAT has posted contact information of select exchanges in order to assist in resolving linkage errors. On October 6, 2020, FIF submitted to FINRA CAT aggregated responses fr…
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FIF Featured in Tabb Forum Article on CAT

05 October 2020
FIF has been featured in an article from the Tabb Group on upcoming CAT interfirm linkage reporting requirements. The article mentions FIFs efforts to assist in one of CATs trickiest milestones by offering a CAT Counter…
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FIF Comment Letter on Retiring OATS

28 September 2020
On September 22, 2020, FIF submitted a comment letter to the SEC in response to a rule filing by FINRA relating to the retirement of OATS. FIF would like to thank the FIF members who participated in the discussions relating…
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CAT Clock Synch Survey

28 September 2020
FINRA CAT is in the process of soliciting industry member feedback on behalf of its CCO in support of the Plan Processor’s required annual review of the CAT clock synch and time increment reporting requirements. FIF has prep…
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CAT Clock Synch Survey

21 September 2020
FINRA CAT is in the process of soliciting industry member feedback on behalf of its CCO in support of the Plan Processor’s required annual review of the CAT clock synch and time increment reporting requirements. FIF has prep…
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FIF Comment Letter on FINRA Rule Proposal

21 September 2020
On September 14, 2020, FIF submitted a comment letter to FINRA in response to FINRA Regulatory Notice 20-24. In the Regulatory Notice, FINRA requested comments on proposed changes to TRACE reporting, relating to delayed Trea…
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FINRA CAT Meeting Links on FIF Calendar

14 September 2020
Instead of sending Outlook invites on FINRA CAT's behalf for their checkpoint calls and webinars, FIF will post all FINRA CAT calls and webinars on the FIF Calendar located here: https://fif.com/index.php/calendar. Clic…
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CAT Clock Synch Survey

14 September 2020
FINRA CAT is in the process of soliciting industry member feedback on behalf of its CCO in support of the Plan Processor’s annual review of the CAT clock synch and time increment reporting requirements. FIF has prepared a su…
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