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SEC Rule 606 and FINRA Rule 6470 Working Group

18 February 2025
The next call for the SEC Rule 606 and FINRA Rule 6470 Working Group will be on Tuesday February 18 at 3 pm ET. The Working Group will discuss a draft FIF letter to the SEC and FINRA on SEC Rule 606(a) and the implementation…
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CAT Transaction Reporting and CAT CAIS Working Groups

18 February 2025
FIF has scheduled two CAT Working Group calls for this week. The first call will be a joint call for the CAT Transaction Reporting and CAT CAIS Working Groups on Wednesday February 19 at 11 am ET. During this call, the Worki…
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Securities Lending Transparency (SLATE) Working Group

18 February 2025
FIF has scheduled the next call for the SLATE Working Group for Thursday February 20 at 11 am ET. The Working Group will continue its discussion of the SEC approval of the FINRA rule filing for SLATE and current open interpr…
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Front Office Committee

18 February 2025
The Front Office Committee will have its next call on Tuesday February 25 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.
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Data & Technology Committee

18 February 2025
The Data and Technology Committee will have its next call on Wednesday February 26 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets.
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SEC Transition Working Group

18 February 2025
FIF has scheduled the next call for the SEC Transition Working Group for Thursday February 27 at 2 pm ET. The Working Group will continue its discussion of issues and recommendations for FIF to raise with the incoming SEC Ch…
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Schulte Law Firm Presentation on 2025 FINRA Annual Regulatory Report

18 February 2025
On Wednesday March 5 at 11 am ET, William Barbera and Derek Lacarrubba from the Schulte law firm will discuss the 2025 FINRA Annual Regulatory Oversight Report. FIF has invited the members of the Compliance and Surveillance…
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Regulatory Implementations Calendar

10 February 2025
FIF has posted on the FIF member website an updated calendar of regulatory implementations for 2025 and beyond. FIF plans to update this calendar on an ongoing basis with the assistance of FIF members. Please contact This em…
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CAT Transaction Reporting and CAT CAIS Working Groups

10 February 2025
FIF has scheduled two CAT Working Group calls for this week. The first call will be a joint call for the CAT Transaction Reporting and CAT CAIS Working Groups on Monday February 10 at 2 pm ET. During this call, the Working G…
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