The Front Office Committee will have its next call on Tuesday November 19 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.

The next call for the TRACE Working Group will be on Tuesday November 19 at 1 pm ET. The Working Group will continue its discussion of a draft letter to FINRA and the MSRB relating to the recent approvals by the SEC of the FINRA and MSRB rule filings that provide for one-minute reporting to TRACE and RTRS, subject to exceptions for manual activity and firms with limited trading activity.

FIF has scheduled a call for the CAT CAIS Working Group for Wednesday November 20 at 11 am ET. FIF has scheduled two calls this week for the CAT Transaction Reporting Working Group. The first call will be on Wednesday November 20 at 2 pm; the second call will be on Thursday November 21 at 1 pm ET. The second call will focus on the request for an exemption from the reporting of port settings by an order routing firm.

The Data and Technology Committee will have its next call on Monday November 25 at 3 pm ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets.

Back Office Committee. The Back Office Committee reviewed applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. The spotlight presenter was Sheila Zak of the Options Clearing Corporation, who provided an update on external testing for OCC Ovation. Please find this month's agenda here. CAT Transaction Reporting Working Group. The CAT Transaction Reporting Working Group discussed whether to include CAT fees in EBS reporting, the auction handling instructions, reporting for order and route modifications and linkage for OTC Link order fulfillments. The...

FundApps, the compliance monitoring and reporting specialists, now integrates Bloomberg’s Shareholding Disclosure Data Solution into its beneficial ownership reporting platform. A story in Traders Magazine states that the data integration enables firms to rapidly automate their shareholding disclosure requirements without the need to source extensive data points. “Acquiring, organizing, and monitoring the requisite data to comply with increasingly complex shareholding disclosure regulations is a challenge impacting investors across the buy- and sell-side,” said Leila Sadiq, Global Head of...

ICE has partnered with Dun & Bradstreet, who has built up one of the largest private company databases, to add to the climate and environmental, social and governance data that the group already provides across global public companies, U.S. municipalities and fixed income securities. Chris Edmonds, president of ICE’s fixed income & data services, said in a story in Markets Media news. “By combining Dun & Bradstreet’s business intelligence, supply chain and asset location data with ICE’s geospatial and climate capabilities, and leveraging ICE’s distribution channels, this new...

FIF is excited to announce our 2024 Year-End Holiday Event, hosted by Société Générale on December 3rd from 3:00 pm to 7:30 pm ET. After opening remarks from Michael Walsh of Société Générale, there will be two panels. The first panel, on Regulatory Implementation Challenges for 2025, will feature Ian Park of n-Tier fs, Jacki Van Moer of Goldman Sachs and a representative from Société Générale. The second panel, on Retail Trading and Expanded Trading Hours, will feature Matt Billings of Robinhood, Gary Goldsholle of Charles Schwab, Venu Palaparthi of DriveWealth and Kevin Tyrrell of NYSE....

On November 5, FIF submitted a letter to the SEC relating to the implementation of short position reporting. FIF would like to thank the members of the Short Sales / Reg SHO / Short Reporting Working Group for their contributions in the drafting of this letter.