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FIF Survey on Rule 605 for Options

30 August 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 p…
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FIF Rule 606 Working Group

30 August 2021
After a series of Working Group discussions, FIF has requested calls with the SEC Division of Trading and Markets personnel and the SEC Commissioners and their advisers to discuss look-through for Rule 606 reporting of optio…
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FIF Survey on CAT CAIS Open Issues

30 August 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 Gr…
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FIF Call with FINRA CAT on Reporting of registeredRepCRD and branchOfficeCRD for CAIS

30 August 2021
On August 27, 2021, FIF members participated on a call with FINRA CAT and the SROs to discuss the reporting of the registeredRepCRD and branchOfficeCRD fields for CAIS. As a follow-up, FIF has sent a survey to members of the…
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FIF Rule 606 Working Group

23 August 2021
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-…
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FIF Survey on Rule 605 for Options

23 August 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 p…
View more

FIF Survey on CAT CAIS Open Issues

23 August 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 Gr…
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FIF Call with FINRA CAT on Reporting of Option Error Scenarios

23 August 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 fo…
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Next FIF Market Data Infrastructure Webinar

16 August 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…
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