Rule 606 Working Group

The FIF Rule 606 Working Group will meet on Tuesday February 1 at 2pm ET to discuss a draft interchange report to facilitate Rule 606(a) options reporting for future reporting periods based on SEC guidance, reporting for cash value orders that involve fractional shares, and the FINRA rule proposal to require reporting for routes in OTC equities.

POSTED Jan 24,2022

FIF TRACE Working Group

The FIF TRACE Working Group will meet on Tuesday January 25 at 2pm ET to discuss the rule adopted by the Federal Reserve Board to expand TRACE reporting for Treasury and Agency securities to certain depository institutions that are not broker-dealers, interpretive questions relating to the new proposed portfolio trade modifier, the recent filing by the SEC to extend the time period for SEC action on FINRA’s proposed rule change to require FINRA members to append modifiers to delayed Treasury spot trades and portfolio trades when reporting to TRACE, and the recent SEC order approving the expansion of the current exemption to allow reporting of an ATS counter-party (instead of the ATS) as the TRACE counter-party where the ATS is not involved in settlement.

POSTED Jan 24,2022

Front Office Committee

The FIF Front Office Committee will meet on Tuesday January 25 at 11am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.

POSTED Jan 24,2022

FIF Data & Technology Committee

The FIF Data and Technology Committee will meet on Wednesday January 26 at 10am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets. Tim Baker, CFA, will present on the acquisition of CUSIP by FactSet.

POSTED Jan 24,2022

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