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FINRA Virtual Call on TRACE Reporting by Covered Depository Institutions

11 July 2022
FINRA is sponsoring an industry webinar on TRACE reporting by Covered Depository Institutions. The webinar will be on Tuesday July 12, 2022 at 2 pm ET. During the call, FINRA will address administrative requirements, technic…
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Rule 605 Working Group

11 July 2022
FIF has scheduled the next call for the Rule 605 Working Group for Tuesday July 12 at 3 pm ET. The agenda for the call will be to discuss recent statements by SEC Chair Gensler on the potential expansion of Rule 605 reportin…
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Rule 606 Working Group

11 July 2022
The FIF Rule 606 Working Group will meet on Thursday July 14, 2022 at 2 pm ET to continue its discussion of Rule 606 reporting of held and not held orders and the SEC’s recent FAQ updates on Rule 606 reporting for fractional…
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Front Office Committee

11 July 2022
The next Front Office Committee call will be on Tuesday July 19, 2022 at 11 am to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges. The spotlight presenter will be Patr…
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Rule 605 Working Group

05 July 2022
FIF has scheduled the next call for the Rule 605 Working Group for Tuesday July 12 at 3 pm ET. The agenda for the call will be to discuss recent statements by SEC Chair Gensler on the potential expansion of Rule 605 reportin…
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CAT Monthly Update Working Group Call

05 July 2022
The CAT Monthly Update Working Group will meet on Thursday July 7 at 2 pm ET to review guidance and updates from the SROs and FINRA CAT on CAT transaction reporting and CAT CAIS reporting during the prior month. The Working…
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FINRA Regulatory Notice on Reporting of OTC Options Transactions

05 July 2022
On June 22, 2022, FINRA published Regulatory Notice 22-14, “OTC Options Reporting: FINRA Requests Comment on Proposed Trade Reporting Requirements for Over-The-Counter Options Transactions”. At the request of FIF members, FI…
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FINRA Virtual Call on TRACE Reporting by Covered Depository Institutions

05 July 2022
FINRA is sponsoring an industry webinar on TRACE reporting by Covered Depository Institutions. The webinar will be on Tuesday July 12, 2022 at 2 pm ET. During the call, FINRA will address administrative requirements, technic…
View more

Rule 606 Working Group

05 July 2022
The FIF Rule 606 Working Group will meet on Thursday July 14, 2022 at 2 pm ET to continue its discussion of Rule 606 reporting of held and not held orders and the SEC’s recent FAQ updates on Rule 606 reporting for fractional…
View more

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