FIF has scheduled the next call for the Rule 606 Working Group for Tuesday April 11 at 2 pm ET. The Working Group will review and discuss the first draft of an FIF response letter on the FINRA rule filing on disclosure of order routing information for OTC equity securities and NMS securities. The response letter is due on April 13. If necessary, FIF will schedule an additional call for April 12 or 13 to discuss any remaining issues.
POSTED Apr 10,2023
FIF has scheduled the next call for the TRACE Working Group for Thursday April 13 at 10 am ET. The Working Group will discuss TRACE reporting of the portfolio trade modifier, the importance of the MSRB enabling direct reporting if the MSRB intends to reduce the reporting timeframe for munis to one minute, and recent technical notices from FINRA relating to TRACE reporting for foreign sovereign bonds and other upcoming TRACE changes.
POSTED Apr 10,2023
On Thursday April 13 at 11 am ET, Greg Markovich, Senior Director in the FINRA Cyber Enabled Fraud (CEF) Group, will discuss FINRA’s 2023 cyber-related priorities. FIF has invited members of the FIF Cybersecurity Working Group, the FIF Compliance and Surveillance Working Group, and the newly-formed FIF SEC Cyber, Reg SCI and Reg S-P Working Group to participate on this call. If you are not a member of any of these Working Groups and would like to participate on this call, please update your FIF profile or contact fifinfo@fif.com.
POSTED Apr 10,2023
The FIF CAT Monthly Update Working Group call for April will be on Thursday April 13 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 will also review the current areas of focus for FIF members and the current open issues for CAT transaction reporting and CAT CAIS reporting.
POSTED Apr 10,2023
On March 31 FIF submitted comment letters on the following three SEC equity market rule proposals:
FIF would like to thank the members of the FIF Rule 605 Working Group for their contributions in the drafting of the comment letter on the SEC’s rule proposal on Disclosure of Order Execution Information. FIF would like to than the members of the FIF SEC Equity Market Proposals Working Group for their contributions in the drafting of the comment letters on the SEC’s Order Competition Rule proposal and the SEC’s rule proposal on Regulation NMS: Minimum Pricing Increments, Access Fees and Transparency of Better Priced Orders.
POSTED Apr 03,2023
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