FIF has scheduled its annual FIF CAT webinar for Thursday December 9 at 4pm ET. Panel participants include Shelly Bohlin of FINRA CAT, Jon Kroeper of FINRA, Will Leahey of Refinitiv, and Mitvin Shah of Société Générale. In order to attend this webinar, please register here. If you have any questions, please email us at fifinfo@fif.com
POSTED Nov 29,2021
FIF has set up a new Securities Lending Transparency Working Group. 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 securities. The reporting system, as proposed, will include transaction and position reporting. To subscribe to this group, please either update your profile or email us at fifinfo@fif.com.
FIF has scheduled the first call to discuss the SEC rule proposal for Tuesday November 30 at 11am ET. For the first call, FIF has invited members of the Back Office Committee, the TRACE, Short Sales/Reg SHO/Short Interest Reporting and Compliance Working Groups, and the new Securities Lending Transparency Working Group. This is to ensure that the relevant people are aware of the new rule proposal. For subsequent calls, FIF only will invite members of the new Securities Lending Transparency Working Group.
POSTED Nov 29,2021
The Rule 606 Working Group will meet on Tuesday November 30 at 2pm ET to continue its discussion of a draft comment letter on FINRA Regulatory Notice 21-35, “FINRA Requests Comment on Proposed Order Routing Disclosure Requirements for OTC Equity Securities and Potential Steps to Facilitate Investor Access to Current Order Routing Disclosures for NMS Securities.” The Working Group also will discuss supplemental information to be submitted to the SEC relating to options look-through.
POSTED Nov 29,2021
FIF has a call with FINRA personnel on Tuesday November 30 at 3pm ET to discuss FIF member questions relating to the Supplemental Liquidity Schedule (SLS) recently adopted by FINRA (see FINRA Regulatory Notice 21-31). The SLS takes effect on March 1, 2022. If you are interested in participating in discussions with other FIF members on this topic, please send a note to fifinfo@fif.com.
POSTED Nov 29,2021
On October 15, 2021, FINRA filed SR-FINRA-2021-029 with the SEC, “Proposed Rule Change to Amend FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)”. FIF has scheduled a call for the TRACE Working Group for Thursday December 2 at 11am ET to discuss FIF member comments on the rule filing.
POSTED Nov 29,2021
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