FIF - Financial Information Forum

Residential Supervisory Locations; Remote Inspections Pilot

FIF has scheduled a call for the Residential Supervisory Locations subgroup for Thursday June 6 at 11 am ET. The Working Group will discuss questions from FIF members in response to recent guidance published by FINRA and recent webinars hosted by FINRA relating to residential supervisory locations and the remote inspections pilot. If you would like to participate on this call and are not a member of the FIF Residential Supervisory Locations subgroup, please send a note to fifinfo@fif.com, and we will add you to this discussion.

POSTED Jun 03,2024

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

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

 

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

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