On May 15, FIF submitted a comment letter to FINRA on short interest reporting. The comment letter was submitted in response to FINRA Regulatory Notice 25-04 (Rule Modernization). FIF would like to thank the participants of the Short Sales / Reg SHO / Short Reporting Working Group for their contributions in the drafting of this comment letter.
POSTED May 19,2025
The FIF Compliance and Surveillance and Fixed Income Regulations Working Groups have prepared a best practices document that recommends a standardized industry process for fixed income platforms to communicate order data to participants. The objective of this initiative is to support participants of these platforms in performing their internal compliance and surveillance functions. FIF would like to thank the members of these Working Groups for their contributions in preparing this best practices document.
POSTED May 19,2025
FIF has created a subgroup to discuss direct reporting of muni trades. Peter Lisman of Broadridge is coordinating this subgroup and has scheduled the next subgroup call for Monday May 19 at 11:30 am ET. The subgroup will review final revisions to a draft letter to the MSRB recommending that firms have the option to report trades directly to the MSRB RTRS as opposed to reporting trades through the RTTM trade-matching system operated by FICC. If you are interested in participating in this discussion and have not yet registered for this subgroup, please send a note to fifinfo@fif.com, and we will include you on this call.
POSTED May 19,2025
FIF has scheduled a joint call for the Digital Asset Securities Working Group and the Margin / Financial Risk Regulations Working Group for Monday May 19 at 2 pm ET. The Working Groups will discuss the FAQs relating to custody of crypto assets published by the SEC on May 15. If you are interested in participating in this discussion and are not a member of either of these Working Groups, please update your FIF profile or send a note to fifinfo@fif.com.
POSTED May 19,2025
The Back Office Committee will have its next call on Tuesday May 20 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. Nick Rupprecht from Virtu will discuss current industry planning for future settlement of fractional shares through DTCC.
POSTED May 19,2025
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