On Tuesday, July 27 at 11 am ET, Professor James Angel of the Georgetown University McDonough School of Business will present to the FIF Front Office Committee his views on the recommendations for the SEC’s regulation of short selling published by Better Markets.
POSTED Jul 26,2021
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 requests that FIF members provide their responses to the survey by the end-of-day on Friday, July 30.
POSTED Jul 26,2021
On July 16, 2021, FIF members participated on a call with SEC staff to discuss Rule 605 for options. This call was requested by the SEC staff, who are considering the expansion of Rule 605 to cover options. The next meeting of the FIF Rule 605 Working Group will be scheduled for the week of August 2.
POSTED Jul 26,2021
During June, FINRA published Regulatory Notice 21-19, “Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”. The FIF Reg SHO/Short Interest Reporting Working Group is working on a comment letter on this regulatory proposal. FINRA recently extended the due date for comments from August 5 to September 30, 2021.
POSTED Jul 26,2021
The next meeting of the FIF Reg SHO Working Group will be Tuesday July 20 at 2 pm (ET). The Working Group will continue its review of FINRA Regulatory Notice 21-19, “Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”. The Working Group also will review the first draft of an FIF comment letter on the Regulatory Notice. All members of the FIF Reg SHO Working Group are included on the invite. To join the Reg SHO Working Group, update your profile, or contact fifinfo@fif.com for assistance.
POSTED Jul 19,2021
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