Rule 605 Working Group
The FIF Rule 605 Working Group met on July 29, 2021 to discuss FIF’s July 16, 2021 call with the SEC staff relating to Rule 605 for options. The July 16 call was requested by the SEC staff, who are considering the expansion…
CAIS Sub-group Call for Clearing Firms
02 August 2021
An FIF member that is a clearing firm has requested that FIF schedule a sub-group call to discuss CAIS reporting by clearing firms for accounts that are not active. FIF has scheduled this call for Tuesday, August 3 at 2 pm E…
FIF Rule 606 Working Group
26 July 2021
The FIF Rule 606 Working Group will meet on Thursday, July 29, 2021 at 11 am ET to provide an update on FIF’s recent discussions with the SEC staff. In June, FIF submitted to the SEC staff a request for written guidance rela…
Spotlight Presentation on Short Selling
26 July 2021
On Tuesday, July 27 at 11 am ET, Professor James Angel of the Georgetown University McDonough School of Business will present to the FIF Front Office Committee his views on the recommendations for the SEC’s regulation of sho…
FIF Survey on Reporting of accountHolderType in CAT Allocation Events
26 July 2021
On July 22, 2021, FIF sent a survey to FIF members requesting feedback on the reporting of accountHolderType in CAT Allocation events in place of reporting TIDType. FIF requests that FIF members provide their responses to th…
FIF Call with SEC Staff on Rule 605 for Options
26 July 2021
On July 16, 2021, FIF members participated on a call with SEC staff to discuss Rule 605 for options. This call was requested by the SEC staff, who are considering the expansion of Rule 605 to cover options. The next meeting…
FINRA Regulatory Notice on Short Interest Reporting: Extension of Comment Period
26 July 2021
During June, FINRA published Regulatory Notice 21-19, “Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”. The FIF Reg SHO/Short Interest Reporting Working Group is working on a…
FINRA Regulatory Notice on Short Interest Reporting
19 July 2021
The next meeting of the FIF Reg SHO Working Group will be Tuesday July 20 at 2 pm (ET). The Working Group will continue its review of FINRA Regulatory Notice 21-19, “Short Interest Position Reporting Enhancements and Other C…
Spotlight Presentation on Short Selling
19 July 2021
On July 27 at 11 am ET, Professor James Angel of the Georgetown University McDonough School of Business will present to the FIF Front Office Committee his views on the recommendations for the SEC’s regulation of short sellin…
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