Deutsche Bank has chosen the London Stock Exchange Group’s Trade Discovery compliance solution as it seeks to meet increasingly rigorous regulatory demands. According to a story in The Trade news, the solution is specifically set to help with Fundamental Review of the Trading Book (FRTB) demanding data requirements – wherein the body requires those institutions which implement rules via their own market risk models, to access reliable data. Namely, accurate and comprehensive data – specifically regarding cross-asset class financial instruments traded in regulated and...

The Short Sales / Reg SHO / Short Reporting Working Group will have its next call on Tuesday February 18 at 11 am ET. The Working Group will discuss a draft letter to the SEC as a follow-up to the SEC’s February 7 Exemptive Order to extend the compliance date for Form SHO reporting.  

The Back Office Committee will have its next call on Tuesday February 18 at 2 pm ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.

The next call for the SEC Rule 606 and FINRA Rule 6470 Working Group will be on Tuesday February 18 at 3 pm ET. The Working Group will discuss a draft FIF letter to the SEC and FINRA on SEC Rule 606(a) and the implementation of FINRA Rule 6470.

FIF has scheduled two CAT Working Group calls for this week. The first call will be a joint call for the CAT Transaction Reporting and CAT CAIS Working Groups on Wednesday February 19 at 11 am ET. During this call, the Working Groups will discuss a draft FIF letter in response to the SEC’s February 10 Exemptive Order to remove PII from CAT. The second call will be for the CAT Transaction Reporting Working Group and is scheduled for Wednesday February 19 at 2 pm ET. The second call will focus on the BFMM Flag, port settings, representative order linkage, CAT costs and other CAT Transaction...

FIF has scheduled the next call for the SLATE Working Group for Thursday February 20 at 11 am ET. The Working Group will continue its discussion of the SEC approval of the FINRA rule filing for SLATE and current open interpretive issues. The Working Group will also review FINRA’s February 12 updates to the SLATE Technical Specification. The Working Group will also continue its discussion of the January 24 blog by Robert Cook, President and CEO of FINRA, titled “Implementing the SEC’s Securities Lending Reporting Requirements.”

The Front Office Committee will have its next call on Tuesday February 25 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.

The Data and Technology Committee will have its next call on Wednesday February 26 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets.

FIF has scheduled the next call for the SEC Transition Working Group for Thursday February 27 at 2 pm ET. The Working Group will continue its discussion of issues and recommendations for FIF to raise with the incoming SEC Chair during 2025. If you are interested in this topic and are not a member of this Working Group, you can update your FIF profile or contact This email address is being protected from spambots. You need JavaScript enabled to view it..