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Law Firm Presentation on FINRA Rule Filing for SLATE (Securities Lending and Transparency Engine)

06 May 2024
On Monday May 13 at 2 pm ET, Ignacio Sandoval of the Orrick Law Firm will review the recent FINRA rule filing for the SLATE (Securities Lending and Transparency Engine) system to be developed and operated by FINRA. FIF has i…
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New FIF Member: Vision Financial Markets

29 April 2024
FIF is pleased to welcome Vision Financial Markets to the FIF Community
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FIF In-Person Event **Capacity Reached**

29 April 2024
On Monday May 6th, FIF will hold an in-person event at the offices of OTC Markets (300 Vesey Street, New York, NY 10282). There will be two panels. Our first panel of the evening will be “Digital Assets:  Regulations, P…
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FIF TRACE Working Group

29 April 2024
The next call for the TRACE Working Group will be on Monday April 29 at 1 pm ET. The Working Group will review the April 22 SEC Order requesting additional comments in response to the January 11, 2024 FINRA rule filing (SR-F…
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FINRA Trade Reporting Notice on Fractional Share Transactions

29 April 2024
FIF has scheduled a call for Monday April 29 at 2 pm ET to discuss next steps in response to the March 22 FINRA Trade Reporting Notice on Upcoming Trade Reporting Enhancements for Fractional Share Transactions. FIF has invit…
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SEC Rule on Short Position and Short Activity Reporting

29 April 2024
FIF has scheduled the next call for the FIF Short Sales / Reg SHO / Short Reporting Working Group for Monday April 29 at 3 pm ET. The Working Group will continue its review and discussion of a draft FIF letter to the SEC req…
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Rule 606 Working Group; FINRA Rule 6151 Implementation

29 April 2024
FIF has scheduled the next call for the Rule 606 Working Group for Tuesday April 30 at 12 pm ET. The Working Group will review a draft follow-up letter to FINRA relating to the implementation of FINRA Rule 6151 (centralized…
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Rule 605 Working Group

29 April 2024
FIF has scheduled the next call for the Rule 605 Working Group for Tuesday April 30 at 3 pm ET. The Working Group will continue its review and discussion of the changes to Rule 605 that the SEC adopted on March 6. The Workin…
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CAT CAIS and CAT Transaction Reporting Working Groups

29 April 2024
The next call for the CAT CAIS Working Group will be on Wednesday May 1 at 11 am ET. The next call for the CAT Transaction Reporting Working Group will be on Wednesday May 1 at 2 pm ET.
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