News

FIF Arranged Call with FINRA Staff on TRACE Rule Proposal

14 September 2020

On July 16, 2020, FINRA issued Regulatory Notice 20-24 requesting comments on proposed changes to TRACE reporting relating to delayed Treasury spot and portfolio trades. The comment period for the rule proposal expires…

Guidance from FINRA CAT on Fully-Executed or Cancelled Orders

08 September 2020

On September 3rd, FINRA CAT issued a FAQ that Industry Members are not required to report an Order Modification Request or Order Cancel Request event to CAT in Phase 2d to the extent an order has already been fully executed…

FIF to Launch CAT CAIS Working Group Later This Week

31 August 2020

FIF has formed a CAT Working Group focused on CAT CAIS. We are pleased to announce that Will Leahey of Refinitiv and Jacki Van Moer of Goldman Sachs have agreed to act as Co-chairs for the new FIF CAT CAIS Working Group. The…

New FIF Subgroup on CAT CAIS

24 August 2020

FIF is beginning the process of gathering names of members interested in joining discussions focused on the implementation of the CAT CAIS Tech Spec. In order to subscribe to this subgroup, please update your profile he…

Howard Meyerson to Lead the Financial Information Forum (FIF)

17 August 2020

FIF is thrilled to announce the hiring of Howard Meyerson as the new Managing Director of FIF. Howard was most recently the Global Chief Compliance Officer at Liquidnet Holdings, Inc. During his time at Liquidnet, Howard man…

Press Release - Howard Meyerson to Lead FIF

14 August 2020

Press Release Howard Meyerson to Lead FIF

Reminder: CAT Counterparty Contact Utility

10 August 2020

As a reminder, any CAT Reporting Brokers who have not entered their firms information into the CAT Counterparty Contact Utility should do so as soon as possible. Currently, we have about 200 brokers entered into the system b…

New Co-Chairs Announced for CAT and SEC Rule 606 Working Groups

03 August 2020

FIF has restructured its Consolidated Audit Trail (CAT) and SEC Rule 606 (606) working groups to be consistent with its other working groups. Going forward, the work of these groups will be led by co-chairs, with assis…

FIF Holds Webinar on CAT Intra and Inter-Firm Linkages

27 July 2020

FIF would like to thank all those who attended the FIF CAT webinar on Thursday, July 23rd. Specific topics included interfirm linkage testing, production timelines, tools made available by FINRA CAT, Industry-centric challen…

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