FIF - Financial Information Forum

Reg SHO Working Group 7/6

The Reg SHO Working Group will meet on July 8 at 2 pm ET to discuss a comment letter on FINRA Regulatory Notice 21-19 relating to “Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”.

POSTED Jul 06,2021

FIF Webinar on SEC Market Access Rule

On July 8 at 4 pm ET, FIF will host a webinar on the SEC’s market access rule (Rule 15c3-5). This webinar will focus on the rule's practical aspects, setting credit limits, the handling of market orders, the process for overriding limits, challenges of meme stocks, the annual CEO certification, enforcement trends, and more. The panel includes Jim Dolan of Luminex, Lillian Tan of Cantor Fitzgerald, Wayne Aaron of Vedder Price and will be moderated by Tom Jordan, FIF Advisory Chair. Please register here or email fifinfo@fif.com with any questions.

POSTED Jun 28,2021

Upcoming Data & Technology Committee Spotlight

On June 30 at 10am ET, Patrick Flannery of MayStreet will discuss “Market Data Delivery in the Cloud - Lessons Learned” as the spotlight topic on this months call. Following the spotlight topic, the co-chairs will go through last months market data capacity statistics, SIP/Exchange notices and updates. If you would like to join this committee meeting and it's not on your calendar, email us at fifinfo@fif.com. 

POSTED Jun 28,2021

FINRA Regulatory Notice on Short Interest and Short Sale Reporting

On July 1 at 11 am (ET), Mark Fitterman and Gavin Meyers of the Baker McKenzie law firm will present on FINRA Regulatory Notice 21-19 relating to “Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”. FIF has invited members of the Reg SHO Working Group and the Back Office Committee to this presentation. If you would like to attend this session and do not have it on your calendar, email fifinfo@fif.com.

POSTED Jun 28,2021

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