- Active Working Groups
- ATS
- CFTC Large Trader Reporting
- Consolidated Audit Trail
- Cost Basis
- Cybersecurity
- Compliance and Surveillance
- CT Plan
- Digital Asset Securities
- Emerging Technologies
- Electronic Blue Sheets
- Equity Market Regulations
- Financial Risk Regulations
- TRF / ORF
- 24x7 Trading
- Fixed Income Regulations
- Financial Data Transparency Act
- OFR Repo Reporting
- OTC Options Reporting
- Regulatory Reporting Fines
- Rule 605
- SEC Rule 606 and FINRA Rule 6470
- SEC Transition
- SEC Cyber, Reg SCI and Reg S-P
- Section 31 Fee / FINRA Regulatory Transaction Fee
- Securities Lending Transparency
- Short Sales / Reg SHO / Short Reporting
- Tax Information Reporting
- TRACE/RTRS
- Trump Accounts
- TRF Fractional Shares
- Archive Working Groups
- CAT (FIF Archive)
- FATCA (Foreign Account Tax Compliance Act)
- FINRA CARDS
- Large Trader Reporting
- Market Access
- Money Market Reform
- OATS for NMS
- ORF
- Reg E Remittance Transfer
- Regulation NMS
- Short Sale Implementation
- Single Stock Circuit Breaker
- Symbology
- Electronic Blue Sheets (EBS)
- Limit Up-Limit Down
- Mark Up Mark Down
- Large Options Positions Reporting
- Tick Size Pilot
- Retail Execution Quality
- SEC Reg Best Interest
Working Groups
The Financial Information Forum (FIF) leads several topic-oriented working groups aimed at addressing the implementation issues associated with new and existing regulatory obligations affecting equities, fixed income, and options. FIF working groups facilitate a collaborative environment between industry stakeholders in which members analyze requirements, discuss alternative approaches, and recommend practical solutions that allow member firms to become better informed and more efficient. FIF working groups aim to allow member firms to:
- better understand new initiatives.
- formulate recommended alternatives and engage in direct dialogue with the regulators.
- develop implementation responses that fulfill all requirements without adding extensive overhead costs.
FIF also leads several additional working groups that provide member firms with best practice recommendations concerning cybersecurity, cloud technology, best execution, financial technology, and market data.
To join a working group, please update your profile or sign up here.