CAT Monthly Update Working Group

The CAT Monthly Update Working Group call for June will be on Thursday June 6 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting, CAT CAIS and CAT billing reporting during the prior month. The Working Group will also review the current areas of focus for FIF members and the current open issues for CAT Transaction Reporting, CAT CAIS reporting and CAT billing.

POSTED Jun 03,2024

SEC Rule on Short Position and Short Activity Reporting

FIF has scheduled the next call for the FIF Short Sales / Reg SHO / Short Reporting Working Group for Thursday June 6 at 3 pm ET. The Working Group will continue its review and discussion of a draft FIF letter to the SEC requesting guidance on the implementation of SEC Rule 13f-2 on Short Position and Short Activity Reporting. The Working Group will also discuss issues and questions from FIF members relating to the implementation of Rule 13f-2.

POSTED Jun 03,2024

Front Office Committee

The Front Office Committee will have its next call on Tuesday May 28 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.

POSTED May 28,2024

CAT CAIS and CAT Transaction Reporting Working Groups

FIF has scheduled an additional call this week for the CAT Transaction Reporting Working Group. The call will be on Tuesday May 28 at 1 pm ET and will focus on reviewing a draft FIF exemptive request relating to linkage of representative to customer orders and linkage of order fulfillments to representative and principal orders. This call will be in addition to the regularly-scheduled weekly call for the CAT Transaction Reporting Working Group, which will be on Wednesday May 29 at 2 pm ET. The next call for the CAT CAIS Working Group will be on Wednesday May 29 at 11 am ET. 

POSTED May 28,2024

© 2024 Financial Information Forum

Press enter to search
Press enter to search

Interested in joining us?

Download membership kit

Key Reasons to Join

  1. Stay informed on Current Regulatory and Market Initiatives
  2. Drive Industry Issues to Successful Resolution
  3. Impact the implementation timing and methodology of new rules
  4. Apply FIF Insight Within Your Firm