FIF - Financial Information Forum

Regulatory Reporting Fines for 2022 and 2023

FIF has scheduled a call for Thursday November 9 at 2 pm ET to continue the review of regulatory reporting fines for 2022 and 2023. The Working Group will also review a summary of findings for each regulatory report, including CAT, EBS, LOPR, Rule 605, Rule 606, short interest reporting, swap data reporting, TRACE, trade advertising and TRF/ORF. All firm names and dates are excluded from the presentation. FIF has invited the members of the Compliance and Surveillance Working Group and the newly-created Regulatory Reporting Fines Working Group to participate on this call. If you would like to participate on this call and are not a member of either Working Group, please update your FIF profile or send a note to fifinfo@fif.com. A number of members have asked FIF to distribute the digest document from the prior call to the Working Group members. FIF is currently making additional edits to this document and will distribute the document with the agenda that FIF sends out on Thursday morning.

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The Financial Information Forum (FIF) addresses the implementation issues that impact the financial technology industry across the order lifecycle.

 

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FIF prepares comment letters and discussion documents based on member input that contribute to changes in implementation time frames and methodology.

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