FIF has scheduled an additional CAT Transaction Reporting Working Group call for this week to focus on various exemptions that are scheduled to expire on July 31, 2023, including the exemption for reporting linkage of representative and customer orders for unlinked systems. This call is scheduled for Monday April 18, 2022 at 2pm ET. This call is in addition to the regularly-scheduled CAT Transaction Reporting Working Group call on Wednesday.
POSTED Apr 18,2022
The FIF Back Office Committee will meet on Tuesday April 19 at 11am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
POSTED Apr 18,2022
The FIF Short Sales/Reg SHO/Short Interest Reporting Working Group will meet on Thursday April 14, 2022 at 11am ET to continue its review of a draft comment letter on the SEC’s recent proposal to mandate a new buy to cover order marker. The Working Group also will discuss other issues identified by FIF members relating to the SEC’s recent rule proposal on Short Position and Short Activity Reporting by Institutional Investment Managers.
POSTED Apr 11,2022
The FIF Rule 606 Working Group will meet on Thursday April 14, 2022 at 2pm ET to discuss recent guidance from the SEC staff relating to Rule 606 reporting for notional value orders that include fractional shares. The Working Group also will provide an update on a recent discussion with FINRA relating to its proposal to require Rule 606-type disclosures for routing in OTC equities.
POSTED Apr 11,2022
On Friday April 8, 2022, FINRA CAT published a significant number of updates to the CAIS Technical Specifications. The CAIS Working Group call for this Wednesday at 11 am will focus on these updates. In addition, starting on Monday April 18 at 11 am, FIF will schedule weekly calls to review these updates to the Technical Specifications. These Monday calls will be in addition to the regularly scheduled Wednesday and Friday CAIS calls and will continue until the review of these updates has been completed. The CAIS call for Friday April 15 is cancelled because of Good Friday.
POSTED Apr 11,2022
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