FIF - Financial Information Forum

FINRA Regulatory Notice on Reporting of OTC Options Transactions

On July 11, FIF held a call to discuss FINRA Regulatory Notice 22-14, “OTC Options Reporting: FINRA Requests Comment on Proposed Trade Reporting Requirements for Over-The-Counter Options Transactions”. The next call on this topic is scheduled for Monday July 25 at 11 am ET. Given the level of interest in this Regulatory Notice, FIF has created a new OTC Options Reporting Working Group. If you have previously requested to be included in these discussions and have an FIF profile, we have updated your profile to include you in this Working Group. If you would like to be added to this Working Group, please update your profile or send a note to fifinfo@fif.com.

POSTED Jul 25,2022

CAIS Reporting for Institutional Accounts

In addition to the regularly-scheduled Wednesday and Friday CAIS calls this week, FIF has scheduled a separate call this week to discuss CAIS reporting for institutional accounts. This call will be on Tuesday July 26 at 2 pm ET. Please contact fifinfo@fif.com if you would like to participate on this call.

POSTED Jul 25,2022

Data and Technology Committee

The FIF Data and Technology Committee will meet on Wednesday July 27, 2022 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets.

POSTED Jul 25,2022

Rule 605 Working Group

FIF has scheduled the next call for the Rule 605 Working Group for Thursday July 28 at 2 pm ET. The agenda for the call will be to review a draft letter to the Director of the SEC’s Division of Trading and Markets Division relating to Rule 605. 

POSTED Jul 25,2022

Spotlight on SEC Semi-Annual Regulatory Agenda

On Thursday August 4, 2022 at 11 am ET, Ignacio Sandoval of the Morgan Lewis law firm will discuss the SEC’s Semi-Annual Regulatory Agenda published in June, including planned rule adoptions, planned rule proposals and proposed long-term actions. The presentation will be focused on rules and proposals relating to trading and markets. FIF has invited members of the Back Office and Front Office Committees and the Compliance Working Group to participate on the call. If you are not a member of any of these Committees or Working Groups and would like to participate on this call, please update your profile or contact fifinfo@fif.com.

POSTED Jul 25,2022

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