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SEC Rule 606 and FINRA Rule 6470 Working Group

03 February 2025
The next call for the SEC Rule 606 and FINRA Rule 6470 Working Group will be on Tuesday February 4 at 2 pm ET. The Working Group will continue its discussion on the implementation of Rule 6470 reporting.
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CAT Transaction Reporting and CAT CAIS Working Groups

03 February 2025
FIF has scheduled a joint call for the CAT Transaction Reporting and CAT CAIS Working Groups for Wednesday February 5 at 2 pm ET. Among other topics, the Working Group will continue its discussion of the recent blog by Rober…
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Securities Lending Transparency (SLATE) Working Group

03 February 2025
FIF has scheduled the next call for the SLATE Working Group for Thursday February 6 at 11 am ET. The Working Group will continue its discussion of the SEC approval of the FINRA rule filing for SLATE. The Working Group will a…
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CAT Monthly Update Working Group Call

03 February 2025
The CAT Monthly Update Working Group call for February will be on Thursday February 6 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting…
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FIF Submits Letter to SEC on Short Position Reporting

27 January 2025
On January 24, FIF submitted a letter to the SEC requesting that managers be permitted to offset long positions for Form SHO reporting. FIF would like to thank the members of the Short Sales / Reg SHO / Short Reporting…
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OFR Repo Reporting Working Group

27 January 2025
FIF has scheduled the next call for the OFR Repo Reporting Working Group for Monday January 27 at 11 am ET. The Working Group will continue its discussion of the implementation of reporting non-centrally cleared bilateral re…
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Short Position Reporting

27 January 2025
The Short Sales / Reg SHO / Short Reporting Working Group will have its next call on Tuesday January 28 at 10 am ET. The Working Group will continue its discussion of the implementation of short position reporting, including…
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Front Office Committee; Blue Ocean Presentation on Extended-Hours Trading

27 January 2025
The Front Office Committee will have its next call on Tuesday January 28 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges. Representatives from Blue Ocea…
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Data & Technology Committee; Presentation on CUSIP Issuance Trends

27 January 2025
The Data and Technology Committee will have its next call on Wednesday January 29 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets. Ger…
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