FIF - Financial Information Forum

CAIS Survey

On December 15, FIF and the FIF CAIS Co-Chairs participated on a call with representatives from the SEC and the CAT Operating Committee to discuss CAT CAIS reporting issues. During the call, the SEC staff requested that FIF provide feedback from FIF members on the challenges with reporting addresses at the CAT Customer level for accounts with multiple Beneficial Owners and reporting CAIS data for Authorized Traders. FIF has sent a survey to members of the CAIS Working Group on these topics. FIF requests that members respond to the survey on or before Wednesday January 12.

POSTED Jan 10,2022

Scheduling Change for CAT Transaction Reporting Working Group for this Week

Because of a conflict with a FINRA CAT webinar that has been scheduled for 1:30 to 2:30pm ET on Wednesday January 12, the FIF CAT Transaction Reporting Working Group call for this week will run from 2:30 to 3:30pm ET on January 12 instead of the regularly scheduled 2 to 3pm ET timeslot.

POSTED Jan 10,2022

FIF Securities Lending Transparency Working Group

The next meeting for the FIF Securities Lending Transparency Working Group is scheduled for Tuesday, January 4 at 2 pm ET. This Working Group will discuss and prepare a comment letter on the SEC’s November 18 rule proposal to create a new reporting system for securities lending. The reporting system, as proposed by the SEC, will apply to equities and bonds, including corporates, Treasuries, Agencies, asset and mortgage-backed securities, and municipal bonds. During the month of January, this group is scheduled to meet on Tuesdays at 2pm ET and Thursdays at 11am ET until the comment letter is completed. To subscribe to this group, please either update your profile or email us at fifinfo@fif.com.

POSTED Jan 03,2022

Santa Rosa Bay Bridge Authority (Florida) Revenue Bonds

A FIF member would like to discuss with other FIF members issues relating to the computation of the factor (remaining principal) for the Santa Rosa Bay Bridge Authority (Florida) Revenue Bonds, Series 1996. This is specifically for trades executed in 2013. If you are interested in participating in a discussion with other FIF members on this topic, please email us at fifinfo@fif.com.

POSTED Jan 03,2022

Rule 606 Working Group

The FIF Rule 606 Working Group will meet on Tuesday, January 4 at 11am ET to discuss recent feedback from the SEC staff relating to Rule 606 reporting for options.

POSTED Jan 03,2022

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The Financial Information Forum (FIF) addresses the implementation issues that impact the financial technology industry across the order lifecycle.

 

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FIF prepares comment letters and discussion documents based on member input that contribute to changes in implementation time frames and methodology.

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