FIF - Financial Information Forum

Review of Regulatory Reporting Fines for 2022 and 2023

FIF has scheduled a call for Tuesday October 24 at 2 pm ET to review regulatory reporting fines for 2022 and 2023, 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. If any of the above reporting areas are not covered on this call, they will be covered on a future call. FIF has invited members of the Compliance and Surveillance Working Group to participate on this call. FIF has also created a new Regulatory Reporting Fines Working Group and is inviting members of this new Working Group to participate on this call. If you are not a member of either Working Group and would like to participate on this call, please update your FIF profile or contact fifinfo@fif.com.   

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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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