Upcoming Webinars and Presentations

  • Short Interest Reporting. Mark Fitterman and Gavin Meyers of the Baker McKenzie Law Firm will present on FINRA Regulatory Notice 21-19 relating to “Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”.
  • SEC Market Access Rule. FIF will host a webinar on the SEC’s market access rule (Rule 15c3-5) in early July.

 FIF will provide further detail when the dates for these two events have been finalized.

POSTED Jun 14,2021

SEC Rule 606 Working Group (6/15)

The next meeting of the FIF Rule 606 Working Group will be held on June 15 at 3 pm (ET). The Working Group will review a draft letter from FIF to the SEC requesting that the SEC issue updated FAQs on various topics, including options look-through, the Rule 606 definition of customer, and various ATS reporting scenarios.  

POSTED Jun 14,2021

Market Trends in Total Return Swaps vs Securities Lending

On Thursday June 3 at 11 am ET, Josh Galper of Finadium will discuss market trends in total return swaps vs. securities lending, including the impact of Archegos. FIF has invited the members of the Back and Front Office Committee to participate on this call. If you do not have this invitation on your calendar and would like to participate on this call, please send a request to fifinfo@fif.com, and we will add you to the list. 

POSTED May 31,2021

Rule 606 Working Group (6/1)

On Tuesday June 1 at 11 am ET the Rule 606 Working Group will discuss issues and questions raised by FIF Members relating to orders sent directly to an ATS, ATS matching with a single market maker, Rule 606(b)(3) requests from sub-accounts, and look through for Rule 606(a) options reporting.

POSTED May 31,2021

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