Skip to main content

FIF Submits Comment Letter on Short Interest Reporting

19 May 2025
On May 15, FIF submitted a comment letter to FINRA on short interest reporting. The comment letter was submitted in response to FINRA Regulatory Notice 25-04 (Rule Modernization). FIF would like to thank the participant…
View more

Fixed Income Platform Order Data

19 May 2025
The FIF Compliance and Surveillance and Fixed Income Regulations Working Groups have prepared a best practices document that recommends a standardized industry process for fixed income platforms to communicate order data to…
View more

Direct Reporting of Muni Trades

19 May 2025
FIF has created a subgroup to discuss direct reporting of muni trades. Peter Lisman of Broadridge is coordinating this subgroup and has scheduled the next subgroup call for Monday May 19 at 11:30 am ET. The subgroup will rev…
View more

SEC FAQs on Custody of Crypto Assets

19 May 2025
FIF has scheduled a joint call for the Digital Asset Securities Working Group and the Margin / Financial Risk Regulations Working Group for Monday May 19 at 2 pm ET. The Working Groups will discuss the FAQs relating to custo…
View more

Back Office Committee

19 May 2025
The Back Office Committee will have its next call on Tuesday May 20 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. Nick Rupprecht from Virtu will discuss curren…
View more

Regulatory Implementations Calendar

19 May 2025
FIF has scheduled a joint call for the Compliance and Surveillance Working Group and the SEC FINRA Regulations Working Group for Tuesday May 20 at 2 pm ET. The Working Groups will review and discuss an updated regulatory imp…
View more

Rule 606 Working Group

19 May 2025
FIF has scheduled a call for the Rule 606 Working Group for Tuesday May 20 at 3 pm ET. The Working Group will discuss revised draft FAQs relating to Rule 606(a) reporting to submit to the SEC.
View more

CAT Transaction Reporting Working Group

19 May 2025
The CAT Transaction Reporting Working Group will have its next call on Wednesday May 21 at 2 pm ET. The Working Group will continue its discussion of proposed changes to Appendix D to the CAT NMS Plan (CAT NMS Plan Processor…
View more

SLATE Working Group

19 May 2025
The next call for the SLATE Working Group will be on Thursday May 22 at 11 am ET. The Working Group will continue to discuss key issues to highlight to FINRA and how FIF members plan to proceed on the various open interpreti…
View more

Title

Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat.