Short Position Reporting

FIF has scheduled two calls this week for the Short Sales / Reg SHO / Short Reporting Working Group. The first call will be on Tuesday August 6 at 2 pm ET; the second call will be on Thursday August 8 at 11 am ET. During the Tuesday call, the Working Group will review and seek to finalize a revised draft follow-up letter to the SEC relating to the implementation of short position reporting. During the Thursday call, the Working Group will discuss how to define “investment discretion”, “control” and “account” for short position reporting.  

POSTED Aug 05,2024

Rule 606 Working Group

FIF has scheduled the next call for the Rule 606 Working Group for Tuesday August 13 at 3 pm ET. The Working Group will review and discuss a revised draft FIF letter to the SEC requesting guidance on how to report the percentage of orders routed to different venues in Rule 606(a) reports.

POSTED Aug 05,2024

Stock Plans for Corporate Clients

An FIF member would like to discuss with other members managing stock plans for corporate clients, including whether they manage the activity at the omnibus level or the individual employee level. If you are interested in this topic, please contact fifinfo@fif.com, and we will include you in this discussion.

POSTED Aug 05,2024

FINRA Technology Certification

An FIF member would like to discuss with other members the potential for FINRA to provide a certification for technology professionals. If you are interested in this topic, please contact fifinfo@fif.com, and we will include you in this discussion.

POSTED Aug 05,2024

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