FIF CAT Tech Spec Working Group - Continued our review of the tech spec, starting with a recap of FDID (section 2.3.2). FIF CAT Working Group -  Provided a status update on CAT, followed by a review of SRO recommendations on reporting of handling instructions for Market Access Flow, reporting obligations for Buy-Ins and a look at the Revised FAQ proposal on when firms should use value "O" (Market Making) for AccountHolder Type. FIF SEC Rule 606 Working Group -  Reviewed the first draft of a follow-up comment letter addressed to the Commission on Amended Rule 606...

FIF Cost Basis Working Group - Discussed 305c and tax reporting obligations for cryptocurrency. FIF CAT Working Group -  Provided an opportunity for members to ask questions on the implications of the termination of the plan processor, and understood next steps.  FIF also reviewed a short comment letter submitted to the SROs on the CAT transactional period. FIF SEC Rule 606 Working Group -  Reviewed the comment letter that was distributed to Trading and Markets Staff.  Reviewed Commission feedback from the in-person meeting on 2/5 on the scope of...

FIF CAT Tech Spec Working Group - Continued our review of the scenerios portion of the spec. FIF Cybersecurity Working Group -  This month we quickly reviewed a New York Times article on two-factor authentication, followed by a deep-dive into Finra's 2018 Cybersecurity Report.  FIF Data & Technology Committee Meeting -  This month's spotlight topic was presented by Joe Bracco from MIAX who reviewed an article on the record breaking year the OCC saw in 2018 and introduced the group to MIAX Emerald.  We followed this presentation with our monthly Market...

FIF CAT Tech Spec Working Group - Completed review of the scenerios section of the Technical Specification.  FIF has raised several of the issues idenified to ThesysCAT/SROs for identified have been raised for review. FIF will continue with the review of the Order Event Tech Spec on Tuesday, January 29. FIF SEC Rule 606 Working Group - Reviewed the content of the Comment Letter being prepared for submission to the SEC. FIF CAT Working Group -  Reviewed the FIF proposed CAT quote recommendations, the recently published FAQs, and various upcoming amendments to the...

FIF CAT Tech Spec Working Group - Reviewed the scenarios portion of the spec, starting with section 2.4 (Order Modification Scenarios) FIF SEC Rule 606 Working Group - Reviewed the meeting materials to be discussed with SEC Staff during a scheduled in-person meeting on Thursday, January 24th. *Due to the government shutdown, the SEC meeting has been canceled FIF Retail Execution Quality Working Group -  Completed an overview of 2018, reviewed impacts of amended rule 606 and discussed potential 2019 topics FIF Back Office Committee Meeting - Provided guidance and insight...

FIF CAT Tech Spec Working Group - Reviewed the scenarios portion of the spec, starting with section 2.4 (Order Modification Scenarios) FIF SEC Rule 606 Working Group - Reviewed the draft version of the presentation to be discussed with SEC Staff during a scheduled in-person meeting on Thursday, January 24th. FIF CAT Working Group -  Reviewed the SRO Proposed Option Origin Code and the spec issues raised with the SROs and next steps  FIF/FIX CAT Working Group - Began a discussion on next steps regarding a FIX to CAT mapping exercise

FIF CAT Tech Spec Working Group - Focused on the scenerios portion on the spec, starting with section 2.3.3

FIF CAT Tech Spec Working Group - Focused on the scenerios portion on the spec, starting with section 2.1.4 FIF SEC Rule 606 Working Group - Reviewed and elicited feedback from members regarding a potential letter to be sent to the Commission on SEC Rule 606. FIF Front Office Committee Meeting -  Focused on order management and trading system issues resulting from proposed rule changes (SEC, FINRA, SROs) and other initiatives impacting exchange traded equities and options, and OTC transactions. Find this month's agenda here.

FIF/SIFMA LTID Phase 3 Working Group -  Discussed potential options to comply with LTID Phase III’s requirements to prepare for future meetings with the SEC Staff. Analyzed initial alternatives. FIF CAT Tech Spec Working Group - Solicited feedback on the FIF member requested scenarios/requests for additional guidance pertaining to the scenarios (FIF Request for Additional Scenarios) and continued with the review of section 2.1.2 of the scenario document FIF CAT Working Group - Reviewed the deep-dive discussion materials discussed with the SROs/Thesys CAT...