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FINRA CAT NMS Plan Website Review

06 May 2019
FINRA CAT would like to meet with industry members to review the CAT NMS Plan Website, with the goal of providing recommendations to improve the website's userablity, functionality, etc.  If you would like to join this…
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FIF Creates New CAT Subgroup - CAT Portal Review

06 May 2019
FIF would like to gather a small group of industry members to review the current portal mockups/proposed functionalities with the intent of providing detailed recommendations to FINRA CAT.  If you would like to join thi…
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FIF Launches New Working Group on FINRA Block Trade Dissemination Pilot

06 May 2019
FIF has formed a working group with the intent of commenting on FINRA’s proposed Pilot Program to study recommended changes to Corporate Bond Block Trade Dissemination (see Regulatory Notice 19-12). FIF will hold our f…
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FIF Submits Comments to Finra on Rule 4370

29 April 2019
On Thursday, April 25, FIF submitted comments to FINRA on FINRA Rule 4370 (BCP).  To view the content of FIF’s comments, please click here.
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SEC Grants FIF's Request for an Extension of 606 Compliance Date

29 April 2019
On Wednesday, April 24, the Securities and Exchange Commission granted FIF’s request for an extension of SEC Rule 606’s May 20, 2019 compliance date.  To view the extension notice, please click here.  F…
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NEW MEMBER FIRM: Abel Noser Solutions

29 April 2019
FIF is pleased to announce that Abel Noser Solutions has joined the FIF Community.
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IHS Markit to Present Spotlight Topic on FIF Data & Tech Call

22 April 2019
During our FIF Data & Technology Committee call this Wednesday 4/24, IHS Markit will present the spotlight topic this month, focusing on Artificial Intelligence in the Banking Industry.  The spotlight topic will be…
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FIF Attends In-Person Meeting on CAT

22 April 2019
On Tuesday, April 16th, FIF attended an in-person meeting with FINRACAT/SROs to discuss CAT connectivity, submission and security.  FIF reviewed the content of that meeting during the Wednesday, April 17 CAT Working Gro…
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FIF Met with SEC to discuss SEC Rule 606 Challenges

15 April 2019
FIF met with the SEC Division of Trading and Markets Staff on Rule 606 on Thursday, April 11th.  FIF discussed several remaining challenges with respect to the implementatation of Rule 606.  If you would like more…
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