The next meeting of the FIF Reg SHO Working Group will be held on April 29 at 10 am (ET). The Working Group will discuss specific Reg SHO issues and questions raised by FIF members relating to order marking, locate and close-out requirements raised by FIF members.
POSTED Apr 26,2021
The next meeting of the FIF Rule 606 Working Group will be held on May 4 at 2 pm (ET). The Working Group meeting will update members on a recent discussion with the SEC staff relating to the Rule 606 de minimis exceptions and discuss issues and questions raised by FIF members relating to identification of the account level in a RIA scenario, aggregated customer orders and options look-through.
POSTED Apr 26,2021
POSTED Apr 26,2021
FIF currently has three separate active CAT groups: CAT Committee; CAT Tech Specs Working Group; and CAT CAIS Working Group. Going forward, the CAT Committee, which is focused on high-level CAT developments, will meet the 1st Thursday of every month at 2 pm (ET). The CAT Tech Specs Working Group, which provides for a detailed discussion of issues relating to CAT transaction reporting, will continue to meet every Monday and Wednesday at 2 pm (ET) and will meet on Thursday at 2 pm (ET) as necessary. The CAT CAIS Working Group, which provides for a detailed discussion of issues relating to CAIS reporting, will continue to meet every Wednesday at 11 am (ET) and will continue to meet on Friday at 1 pm (ET) as necessary.
POSTED Apr 26,2021
On Monday, April 12th, the fifth FIF webinar of the series focused on the rule's effects on Retail, Institutional and the Buy-Side. The panel included Adam Inzirillo of Cboe Global Markets, Melissa Hinmon of Glenmede Investment Management, and Matt Billings of Two Sigma Securities. The panel discussion was moderated by Tom Jordan, FIF Advisory Chair. The next webinar in the series will be on schedules and transition. FIF Members will receive invites for all upcoming webinars. If your firm is not a FIF Member, you may request access by emailing fifinfo@fif.com. If you are a FIF Member and have missed any of the past webinars, you may request a recording at fifinfo@fif.com.
POSTED Apr 19,2021
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