FIF - Financial Information Forum

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 June 4 at 1 pm ET and will focus on reviewing and discussing a draft FIF exemptive request to the SEC 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 June 5 at 2 pm ET. The next call for the CAT CAIS Working Group will be on Wednesday June 5 at 11 am ET. 

POSTED Jun 03,2024

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

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