FIF has scheduled its annual FIF CAT webinar for Thursday, December 7 at 4pm ET. Panel participants include Shelly Bohlin of FINRA CAT, Jon Kroeper of FINRA, Will Leahey of Refinitiv, and Mitvin Shah of Société Générale. In order to attend this webinar, please register here. If you have any questions, please email us at fifinfo@fif.com.
POSTED Nov 22,2021
FIF has created a new working group called the Securities Lending Transparency Working Group. This group will discuss and prepare a comment letter on the SEC’s November 18 rule proposal to create a new reporting system for securities lending. The reporting system, as proposed by the SEC, will apply to equities and bonds, including corporates, Treasuries, Agencies, asset and mortgage-backed securities, and municipal securities. The reporting system will include transaction and position reporting. In order to subscribe to this group, please either update your profile or email us at fifinfo@fif.com.
FIF will schedule the first call to discuss the SEC rule proposal for Tuesday, November 30 at 11am ET. For the first call, FIF will invite members of the TRACE, Short Sales/Reg SHO/Short Interest Reporting and Compliance Working Groups, as well as the new Securities Lending Transparency Working Group. This is to ensure that the relevant people are aware of the new rule proposal. For subsequent calls, FIF only will invite members of the new Securities Lending Transparency Working Group.
POSTED Nov 22,2021
The Rule 606 Working Group will meet on Tuesday, November 23 at 11am ET to continue its discussion of a draft comment letter on FINRA Regulatory Notice 21-35, “FINRA Requests Comment on Proposed Order Routing Disclosure Requirements for OTC Equity Securities and Potential Steps to Facilitate Investor Access to Current Order Routing Disclosures for NMS Securities.” The Working Group also will discuss supplemental information to be submitted to the SEC relating to options look-through.
POSTED Nov 22,2021
FIF has scheduled a call for Wednesday, November 24 at 1:30pm ET to discuss FIF member questions relating to the Supplemental Liquidity Schedule (SLS) recently adopted by FINRA (see FINRA Regulatory Notice 21-31). The SLS takes effect on March 1, 2022. If you are interested in participating on this call, please send a note to fifinfo@fif.com, and we will include you on the invite.
POSTED Nov 22,2021
On October 15, 2021, FINRA filed SR-FINRA-2021-029 with the SEC, “Proposed Rule Change to Amend FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)”. FIF has scheduled a call for the TRACE Working Group for Thursday December 2 at 11am ET to discuss FIF member comments on the rule filing.
POSTED Nov 22,2021
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