The FIF Rule 606 Working Group met on July 29, 2021 to discuss look-through for Rule 606 reporting of options routing and to review a draft request for interpretive guidance relating to this issue. FIF will send out a survey this week requesting feedback from FIF members on next steps for FIF relating to this issue.
POSTED Aug 02,2021
On July 22, 2021, FIF sent a survey to FIF members requesting feedback on the reporting of accountHolderType in CAT Allocation events in place of reporting TIDType. FIF requested that firms respond by July 30, 2021. FIF would like to thank the firms who responded to this survey as this will assist FIF in determining its next steps on this issue. The FIF CAT CAIS Working Group will review these responses on today’s Working Group call.
POSTED Aug 02,2021
The FIF Rule 605 Working Group met on July 29, 2021 to discuss FIF’s July 16, 2021 call with the SEC staff relating to Rule 605 for options. The July 16 call was requested by the SEC staff, who are considering the expansion of Rule 605 to cover options. FIF will be sending a survey to FIF members this week requesting feedback on next steps for FIF relating to this topic.
POSTED Aug 02,2021
An FIF member that is a clearing firm has requested that FIF schedule a sub-group call to discuss CAIS reporting by clearing firms for accounts that are not active. FIF has scheduled this call for Tuesday, August 3 at 2 pm ET. If you would like to participate on this call, please send a request to fifinfo@fif.com.
POSTED Aug 02,2021
The FIF Rule 606 Working Group will meet on Thursday, July 29, 2021 at 11 am ET to provide an update on FIF’s recent discussions with the SEC staff. In June, FIF submitted to the SEC staff a request for written guidance relating to the Rule 606 reporting of options routing, the Rule 606 reporting of various ATS scenarios, and the Rule 606 definition of customer. FIF and the SEC staff discussed this letter during a call on July 19, 2021. During the July 19 call, the SEC staff requested that FIF submit in writing detailed scenarios relating to options routing. On the July 29 call, Working Group members will review and comment on a draft letter to the SEC that includes these options routing scenarios.
POSTED Jul 26,2021
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