On August 10, 2021, FIF sent a survey to FIF members on Rule 605 for options. This is an opportunity for FIF members to provide input to the SEC before the SEC issues a rule proposal in this area. FIF requests that members provide their survey responses by September 13, 2021. Earlier responses also are welcome. All responses are anonymized. The FIF Rule 605 Working Group will meet on September 14, 2021 to review the FIF member responses.
POSTED Sep 07,2021
Because of the Labor Day weekend, the monthly CAT Committee call for September has been moved from September 2 to September 9, 2021 at 2pm ET.
POSTED Sep 07,2021
On September 9, 2021 at 11am ET, the FIF Reg SHO/Short Interest Reporting Working Group will continue its discussion of a draft comment letter on FINRA Regulatory Notice 21-19, “FINRA Requests Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”.
POSTED Sep 07,2021
After a series of Working Group discussions, FIF has requested calls with the SEC Division of Trading and Markets personnel and the SEC Commissioners and their advisers to discuss look-through for Rule 606 reporting of options routing. FIF has scheduled calls with two of the SEC Commissioners for September and October. FIF will schedule the next Rule 606 Working Group call after the initial SEC call.
POSTED Sep 07,2021
On August 12, 2021, FIF sent out a survey request to get feedback from FIF member firms on what they consider to be the most important open issues relating to CAT CAIS. The purpose for this survey is to assist the Working Group to identify the key open issues on CAIS and discuss any next steps for following-up with the regulators on these issues. All responses are anonymized. The FIF Cat CAIS Working Group has reviewed the responses received to date. FIF encourages members to continue to submit responses to this survey, as the Working Group will continue to review responses as they are received.
POSTED Sep 07,2021
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