FIF - Financial Information Forum

Rule 606 Working Group

The Rule 606 Working Group will meet on Tuesday, November 23 at 11am 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 22,2021

FINRA Supplemental Liquidity Schedule (SLS)

FIF has scheduled a call for Wednesday, November 24 at 1:30pm 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 on this call, please send a note to fifinfo@fif.com, and we will include you on the invite.

POSTED Nov 22,2021

TRACE Working Group: FINRA Filing to Amend TRACE Reporting for ATS Trades

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 22,2021

Presentation by CISA (Cybersecurity and Infrastructure Security Agency) to Cybersecurity and Compliance Working Groups

On Wednesday, December 15 at 10am ET Alaina R. Clark, Assistant Director for Stakeholder Engagement at the Cybersecurity and Infrastructure Security Agency (CISA), will present to a joint call of the FIF Cybersecurity and Compliance Working Groups. CISA is an agency within the Department of Homeland Security. Ms. Clark will discuss the role and functions of CISA, CISA’s current areas of focus, recommendations for industry members on cybersecurity processes and management, reporting of cybersecurity incidents, and opportunities for enhanced cooperation between the industry and federal regulators.

The invite for this presentation has been sent to all members of the FIF Cybersecurity Working Group and the newly-created FIF Compliance Working Group. If you are interested in participating on this call and do not have the invite in your calendar, please update your profile and add yourself to either the Cybersecurity Working Group or the Compliance Working Group. Alternatively, you can email fifinfo@fif.com to request an invite for this presentation.

POSTED Nov 22,2021

Changes to CAT Working Group Schedules for this Week

Because of the Thanksgiving holiday, for this week FIF is cancelling the regularly scheduled Wednesday and Friday CAT CAIS Working Group calls and the regularly scheduled Wednesday CAT Tech Specs Working Group call. For this week only, FIF is moving the Monday CAT Tech Specs Working Group from 2pm to 11am ET.

POSTED Nov 22,2021

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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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