FIF - Financial Information Forum

FINRA Regulatory Notice on Reporting of OTC Options Transactions

On June 22, 2022, FINRA published Regulatory Notice 22-14, “OTC Options Reporting: FINRA Requests Comment on Proposed Trade Reporting Requirements for Over-The-Counter Options Transactions”. At the request of FIF members, FIF has scheduled a member call to discuss this Regulatory Notice. The call will be on Monday July 11 at 11 am ET. If you are interested in participating in member discussions on this topic, please send a note to fifinfo@fif.com, and we will include you in these discussions.

POSTED Jul 11,2022

Back Office Committee

The FIF Back Office Committee will meet on Tuesday July 12 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.

POSTED Jul 11,2022

Rule 605 Working Group

FIF has scheduled the next call for the Rule 605 Working Group for Tuesday July 12 at 3 pm ET. The agenda for the call will be to discuss recent statements by SEC Chair Gensler on the potential expansion of Rule 605 reporting.

POSTED Jul 11,2022

Rule 606 Working Group

The FIF Rule 606 Working Group will meet on Thursday July 14, 2022 at 2 pm ET to continue its discussion of Rule 606 reporting of held and not held orders and the SEC’s recent FAQ updates on Rule 606 reporting for fractional share orders. 

POSTED Jul 11,2022

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