On July 27 at 11 am ET, Professor James Angel of the Georgetown University McDonough School of Business will present to the FIF Front Office Committee his views on the recommendations for the SEC’s regulation of short selling published by Better Markets.
POSTED Jul 19,2021
On July 16, 2021, FIF and the Chair of the FIF Rule 606 Working Group participated on a call with SEC staff to discuss requests for written guidance submitted by FIF relating to reporting of options routing, reporting of various ATS scenarios and the Rule 606 definition of customer. The SEC staff have requested that FIF submit in writing more specific scenarios relating to options routing where FIF members seek additional guidance. The next meeting of the FIF Rule 606 Working Group will be scheduled for the week of July 26.
POSTED Jul 19,2021
On July 16, 2021, FIF Members participated on a call with SEC staff to discuss Rule 605 for options. This call was requested by the SEC staff, who are considering the expansion of Rule 605 to cover options. The next meeting of the FIF Rule 605 Working Group will be scheduled for the week of August 2.
POSTED Jul 19,2021
On July 16, 2021, FIF Members participated on a call with FINRA CAT personnel during which FINRA CAT personnel provided feedback on questions and comments previously submitted by FIF. FIF will review this feedback on the next CAT CAIS Working Group call, which is scheduled for Wednesday, July 21 at 11am ET.
POSTED Jul 19,2021
On July 8, the FIF Reg SHO Working Group held its first call to discuss a comment letter on FINRA Regulatory Notice 21-19, “Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”. Certain aspects of the proposals in the Regulatory Notice would significantly expand the current short interest reporting requirements. The next meeting to discuss the comment letter will be held on Tuesday July 13 at 2 pm (ET). All members of the FIF Reg SHO Working Group are included on the invite. To join the Reg SHO Working Group, update your profile, or contact fifinfo@fif.com for assistance.
POSTED Jul 12,2021
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