The next meeting of the Rule 606 Working Group is scheduled for Monday, August 23, 2021 at 11 am ET. The Working Group will continue its review of a draft presentation to Securities and Exchange Commission personnel on look-through for Rule 606 reporting of options routing. The Working Group also will discuss reporting of order type arrangements under Rule 606(a)(1).
POSTED Aug 23,2021
On August 10, 2021, FIF sent a survey to FIF members on Rule 605 for options. This is an opportunity for FIF members to provide input to the SEC before the SEC issues a rule proposal in this area. FIF requests that members provide their survey responses by September 13, 2021. Earlier responses also are welcome. All responses are anonymized.
POSTED Aug 23,2021
On August 12, 2021, FIF sent out a survey request to get feedback from FIF member firms on what they consider to be the most important open issues relating to CAT CAIS. The purpose for this survey is to assist the Working Group to identify the key open issues on CAIS and discuss any next steps for following-up with the regulators on these issues. All responses are anonymized. FIF reviewed the initial group of responses during our CAIS Working Group call on August 20, 2021. FIF encourages members to continue to submit responses to this survey, as the Working Group will continue to review responses as they are received.
POSTED Aug 23,2021
On August 19, 2021, FIF had a call with FINRA CAT and the SROs to discuss CAT reporting for options errors. During the call, FIF reviewed with FINRA CAT and the SROs feedback from FIF members on current industry practices for reporting options errors.
POSTED Aug 23,2021
Please join us for part six of our webinar series on the implementation considerations of the SEC Market Data Infrastructure Rule. The sixth webinar of the series will take place on Wednesday, August 18 at 4pm ET. The newest installment of the series will focus on the 311-page order issued by the SEC on August 6, 2021 approving the NMS Governance Plan Regarding Consolidated Equity Market Data, as modified. Invited to speak on this panel are Chris Nielsen of Charles Schwab, Kerry Baker Relf of Refinitiv, John Ramsay of IEX and Tom Jordan, FIF Advisory Chair. After registering, you will be prompted to follow a link to Zoom, in order to add the Webinar to your calendar. If your firm is a non-member or blocks Zoom, please email the Program Office at fifinfo@fif.com for dial-in details. If interested in attending, please register here.
POSTED Aug 16,2021
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