FIF - Financial Information Forum

TRACE/Fixed Income Working Group: TRACE reporting

FIF has scheduled an additional call for the TRACE/Fixed Income Working Group for Monday January 9 at 2 pm ET. The agenda for the call will be to review the first draft of a comment letter on FINRA Regulatory Notice 22-26 (“FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot Trades”). Time permitting, the Working Group also will discuss FINRA Regulatory Notice 22-28 (“TRACE Reporting of Foreign Sovereign Debt Securities: FINRA Adopts Amendments to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE”).

POSTED Dec 27,2022

FIF Cited in SEC 605 Release

Due to years of effort from FIF and its Members, FIF was cited 72 times in the recent SEC Rule 605 release. Our relationship with the regulators continues to be a benefit of FIF Membership. FIF plans to hold 605 working group calls at the beginning of 2023 to discuss this filing. 

POSTED Dec 19,2022

Rule 606 Working Group

The next call for the Rule 606 Working Group will be on Monday December 19 at 2 pm ET. The Working Group will continue its review of a draft FIF comment letter on the rule filing submitted by FINRA to the SEC on Disclosure of Order Routing Information for OTC Equities (SR-FINRA-2022-031). The comment period for this rule filing ends on December 27. FIF intends to finalize and submit its comment letter shortly after the December 19 Working Group call.

POSTED Dec 19,2022

CAT and CAIS Calls for This Week and Next Week

FIF has cancelled the CAT Transaction Reporting call for this Wednesday (December 21), the CAIS call for this Friday (December 23) and the CAT Transaction Reporting and CAIS calls for next week (December 28 and 30). FIF will host a CAIS call for this Wednesday (December 21) at 11 am ET. 

POSTED Dec 19,2022

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