FIF - Financial Information Forum

Back Office Committee

The Back Office Committee will have its next call on Tuesday July 23 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.

POSTED Jul 22,2024

Short Position Reporting

FIF has scheduled two calls this week for the Short Sales / Reg SHO / Short Reporting Working Group. The first call will be on Tuesday July 23 at 2 pm ET; the second call will be on Thursday July 25 at 2 pm. During the first call, a representative from Bloomberg will review a product being developed by Bloomberg to assist firms in identifying Threshold A and B securities and registration status pursuant to Section 12(b), 12(g) and 15(d) of the Exchange Act. During both calls, the Working Group will review a draft follow-up FIF letter to the SEC relating to the implementation of short position reporting.   

POSTED Jul 22,2024

Securities Lending Transparency Working Group

FIF has scheduled a call for the Securities Lending Transparency Working Group for Thursday July 25 at 11 am ET. The Working Group will continue its review of a draft FIF comment letter in response to the FINRA rule filing to adopt rules for the new Securities Lending and Transparency Engine (SLATE) system. The draft comment letter also comments on the SLATE Participant Specification published by FINRA.

POSTED Jul 22,2024

Front Office Committee

The Front Office Committee will have its next call on Tuesday July 30 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges. The spotlight presenter will be Mark Davies of S3, who will discuss recent and upcoming implementations, including FINRA Rules 6151 and 6470 and SEC Rule 605.

POSTED Jul 22,2024

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Financial Information Forum

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The Financial Information Forum (FIF) addresses the implementation issues that impact the financial technology industry across the order lifecycle.

 

What We Do

FIF prepares comment letters and discussion documents based on member input that contribute to changes in implementation time frames and methodology.

Working Groups

FIF forms topic-oriented working groups to address implementation issues associated with new initiatives.
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