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Two Additional CAT Transaction Reporting Calls This Week

05 February 2024
FIF has scheduled two additional calls for the CAT Transaction Reporting Working Group for this week. On Monday February 5 at 2 pm ET, the Working Group will continue its discussion of CAT billing and reconciliation. On Thur…
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SEC Open Meeting on Expanding the Definition of “Dealer”

05 February 2024
The SEC has scheduled an open meeting for Tuesday February 6 at 10 am ET (rescheduled from January 31). At the meeting, “The Commission will consider whether to adopt new rules to further define the phrase ‘as a part of a re…
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Rule 605 Working Group

05 February 2024
FIF has scheduled a call for the Rule 605 Working Group for Tuesday February 6 at 3 pm ET. The Working Group will review a draft supplemental FIF comment letter on the SEC’s rule proposal to modernize Rule 605.
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TRACE Working Group

05 February 2024
The next call for the TRACE Working Group will be on Thursday February 8 at 2 pm ET. The agenda for the call will be to review and discuss a revised draft of the FIF comment letter on (i) the January 11 rule filing by FINRA…
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Tax Information Reporting Working Group

05 February 2024
The next call for the FIF Tax Information Reporting Working Group will be on Thursday February 8 at 3 pm ET. Representatives from Wolters Kluwer will discuss tax considerations for trading Bitcoin ETFs.
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Fractional Shares

05 February 2024
FINRA representatives have notified FIF that FINRA is considering changes to the TRF and ORF reporting systems to allow for reporting of fractional shares. FIF has scheduled a call for the Data and Technology Committee, the…
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SEC Rule on Short Position and Short Activity Reporting

05 February 2024
FIF has scheduled a call for the FIF Short Sales / Reg SHO / Short Interest Reporting Working Group for Tuesday February 13 at 3 pm ET. The Working Group will discuss issues and questions from FIF members relating to impleme…
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FIF Meets with SEC Chair Gensler on SEC Rule 605 Rule Proposal; Next Rule 605 Working Group Call

29 January 2024
On January 25, FIF and FIF members participated on a call with Gary Gensler (SEC Chair), Sai Rao (Policy Counsel to Chair Gensler) and Haoxiang Zhu (Director of the SEC’s Division of Trading and Markets) to discuss the FIF c…
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AML and Sanctions

29 January 2024
On Monday January 29 at 2 pm ET, Satish Kini and Robert Dura of the Debevoise law firm will review 2023 developments relating to anti-money laundering and sanctions regulations and key issues to focus on for 2024. FIF has in…
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