At the request of several FIF member firms, FIF has scheduled a call for the Compliance Working Group that will focus on trade surveillance issues. FIF has scheduled this call for Tuesday May 17, 2022 at 2 pm ET. If you would like to participate on this call and are not a member of the Compliance Working Group, please contact fifinfo@fif.com. Please also contact us if you would like to discuss any specific issues relating to trade surveillance.
POSTED May 09,2022
On April 25, 2022, FIF submitted a comment letter on the SEC’s proposal to mandate a new buy to cover order marker for all buy orders. FIF would like to thank the members of the FIF Short Sales/Reg SHO/Short Interest Reporting Working Group for identifying this issue and for their contributions to this comment letter.
POSTED May 02,2022
FIF has scheduled an additional CAT CAIS Working Group call for this week to focus on the updates to the CAIS Reporting Scenarios posted by FINRA CAT on April 22, 2022. This call is scheduled for Monday May 2, 2022 at 11 am ET. This call is in addition to the regularly-scheduled CAIS Working Group calls on Wednesday and Friday.
POSTED May 02,2022
The CAT Monthly Update Working Group will meet on Thursday May 5, 2022 at 2 pm ET to review guidance and updates from the SROs 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.
POSTED May 02,2022
At the request of several FIF member firms, FIF has scheduled a call for the Compliance Working Group that will focus on trade surveillance issues. FIF has scheduled this call for Tuesday May 17, 2022 at 2 pm ET. If you would like to participate on this call and are not a member of the Compliance Working Group, please contact fifinfo@fif.com. Please also contact us if you would like to discuss any specific issues relating to trade surveillance.
POSTED May 02,2022
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