Fractional Shares
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…
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…
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…
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…
Additional CAT Transaction Reporting Call for this Week
29 January 2024
FIF has scheduled an additional call for the CAT Transaction Reporting Working Group for this week. The call will be on Monday January 29 at 3 pm ET and will focus on CAT billing and reconciliation. This will be in addition…
SEC Open Meeting on Expanding the Definition of “Dealer”
29 January 2024
The SEC has scheduled an open meeting for Wednesday January 31 at 9 am ET. At the meeting, “The Commission will consider whether to adopt new rules to further define the phrase ‘as a part of a regular business’ as used in th…
Data & Technology Committee
29 January 2024
The Data and Technology Committee will have its next call on Wednesday January 31 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets. Dur…
CAIS Working Group Call Cancelled for This Week
29 January 2024
FIF has cancelled the CAIS Working Group call scheduled for Wednesday January 31 at 11 am ET.
Cybersecurity Working Group
29 January 2024
FIF has scheduled the next call for the Cybersecurity Working Group for Wednesday January 31 at 3 pm ET. Matt Weinberg of the Cybersecurity and Infrastructure Agency (CISA) will provide an update on current threats to the fi…
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