Back Office Committee

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

Rule 606 Working Group

FIF has scheduled a call for the Rule 606 Working Group for Tuesday May 20 at 3 pm ET. The Working Group will discuss revised draft FAQs relating to Rule 606(a) reporting to submit to the SEC.

POSTED May 19,2025

CAT Transaction Reporting Working Group

The CAT Transaction Reporting Working Group will have its next call on Wednesday May 21 at 2 pm ET. The Working Group will continue its discussion of proposed changes to Appendix D to the CAT NMS Plan (CAT NMS Plan Processor Requirements).

POSTED May 19,2025

SLATE Working Group

The next call for the SLATE Working Group will be on Thursday May 22 at 11 am ET. The Working Group will continue to discuss key issues to highlight to FINRA and how FIF members plan to proceed on the various open interpretive issues relating to SLATE reporting.

POSTED May 19,2025

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