FIF - Financial Information Forum

Review of Regulatory Reporting Fines for 2022 and 2023

FIF has scheduled a call for Tuesday October 24 at 2 pm ET to review regulatory reporting fines for 2022 and 2023, including CAT, EBS, LOPR, Rule 605, Rule 606, short interest reporting, swap data reporting, TRACE, trade advertising and TRF/ORF. All firm names and dates are excluded from the presentation. If any of the above reporting areas are not covered on this call, they will be covered on a future call. FIF has invited members of the Compliance and Surveillance Working Group to participate on this call. FIF has also created a new Regulatory Reporting Fines Working Group and is inviting members of this new Working Group to participate on this call. If you are not a member of either Working Group and would like to participate on this call, please update your FIF profile or contact fifinfo@fif.com.   

POSTED Oct 23,2023

Additional CAT Call This Week Focused on CAT Billing

FIF has scheduled an additional call this week for the CAT Transaction Reporting Working Group. The call will be on Tuesday October 24 at 3 pm ET and will focus on CAT billing, including reconciliation for on-exchange and off-exchange trades. This will be in addition to the regularly-scheduled CAIS call on Wednesday October 25 at 11 am ET and the regularly-scheduled CAT Transaction Reporting call on Wednesday October 25 at 2 pm ET.

POSTED Oct 23,2023

TRACE Working Group

FIF has scheduled a call for the FIF TRACE Working Group for Wednesday October 25 at 3 pm ET to discuss changes to the FINRA master file for foreign sovereign bonds.

POSTED Oct 23,2023

SEC Rule on Short Position and Short Activity Reporting

FIF has scheduled a call for Thursday November 2 at 11 am ET to review the SEC’s recent adoption of a rule to require monthly reporting of short positions and short activity. FIF has invited members of the FIF Short Sales / Reg SHO / Short Interest Reporting Working Group to participate on this call. If you would like to participate on this call and are not a member of this Working Group, please update your FIF profile or send a note to fifinfo@fif.com.

POSTED Oct 23,2023

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