FIF will schedule calls during the week of January 15 to discuss the recent SEC proposals on minimum pricing increments, access fees, transparency of better priced orders and order competition. FIF will announce the specific dates and times in the Weekly News for next week.

FIF would like to thank the FIF Committee and Working Group Chairs for all their contributions during the past year. The following FIF members served as FIF Committee or Working Group Chairs for all or part of 2022:

• ATS Working Group: Jim Dolan (Luminex)
• Back Office Committee: Susan Crozier (FIS); Doug Gifford (Broadridge)
• CAT CAIS: Mark Hendrickson (DA Davidson); Patricia Lahrheim (Pershing); Will Leahey (BetaNXT); Jacki VanMoer (Goldman Sachs)
• CAT Monthly Update Working Group: Chris Bok (OTC Markets)
• CAT Transaction Reporting: David Alazraki (Fidessa); Mitvin Shah (Societe Generale)
• Cybersecurity Working Group: Jim Dolan (Luminex)
• Data and Technology Committee: Rob Wallos (Kyndryl); Jeff Wells (Cboe)
• Front Office Committee: Viktor Grinberg (n-Tier fs); Michael Lurie (Credit Suisse)
• Rule 606 Working Group: Mark Davies (S3)
• Tax Information Reporting Working Group: Stevie Conlon, Anna Vayser, Robert Schwaba (Wolters Kluwer)
• TRACE/Fixed Income: Susan Crozier (FIS); Graf Douglas (Jane Street); Michael Khin (Credit Agricole)

FIF also would like to thank all members who participated on our Committee and Working Group calls, webinars, spotlight presentations, live events, and calls with regulators, all members who contributed towards our comment letters and other submissions to regulators, and all members who submitted questions, comments, agenda items and suggestions to us at fifinfo@fif.com. The FIF agenda is based on the input we receive from FIF members.

On December 20, FIF submitted a comment letter to the SEC on the rule filing submitted by FINRA on Disclosure of Order Routing Information for OTC Equities (SR-FINRA-2022-031). FIF would like to thank the members of the Rule 606 Working Group for their contributions in the drafting of the comment letter.

FIF has scheduled the next Rule 606 Working Group call for Thursday January 5 at 11 am ET. The agenda for the call will be to discuss next steps relating to FINRA’s rule filing with the SEC on OTC routing disclosures and to discuss reporting of OTC Link routing scenarios.

The FIF CAT Monthly Update Working Group call for January will be on Thursday January 5 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT transaction reporting and CAT CAIS reporting during the prior month. The Working Group also will review the current areas of focus for FIF members and the current open issues for CAT transaction reporting and CAT CAIS reporting.