FIF - Financial Information Forum

SEC Rule 15c2-11 Amendments (Rule Governing Quotations for OTC Securities)

The upcoming amendments to SEC Rule 15c2-11 provide an exception from the issuer information requirements that allows for the display of an unsolicited customer order where the customer is not an insider or affiliate of the issuer. FIF members that are retail brokers have identified challenges in complying with this exception. FIF has scheduled a call on this topic for today (September 20) at 1pm ET. If you are interested in participating on this call, please send a note to fifinfo@fif.com.

POSTED Sep 20,2021

Upcoming Spotlight Presentation

Data and Technology Committee: On Wednesday, September 29 at 10am ET, the FIF Data and Technology Committee will be treated to a spotlight presentation from Cboe's Angelo Evangelou who will discuss a new paper from Cboe Global Markets that focuses on Targeted Equity Market Structure Reform and its recommendations in updating certain rules and regulations.

POSTED Sep 20,2021

Rule 605 for Options

The SEC staff have advised FIF that the SEC is considering the expansion of Rule 605 to cover options. The SEC staff have requested input from FIF on this topic. The FIF Rule 605 Working Group is working on a set of recommendations relating to Rule 605 for options. The next meeting for this Working Group will be scheduled for the week of September 27.

POSTED Sep 20,2021

Short Interest Reporting

On September 23, 2021 at 11am ET, the FIF Short Sales/Reg SHO/Short Interest Reporting Working Group will discuss any final changes to the draft FIF comment letter on FINRA Regulatory Notice 21-19, "FINRA Requests Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”. The Working Group also will review draft requests for interpretive guidance relating to Short Interest Reporting.

POSTED Sep 20,2021

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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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FIF forms topic-oriented working groups to address implementation issues associated with new initiatives.
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