FIF has scheduled a call for the CAT Transaction Reporting Working Group for Wednesday November 6 at 2 pm. FIF has not scheduled a CAIS Working Group call for this week.

The CAT Monthly Update Working Group call for November will be on Thursday November 7 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting, CAT CAIS and CAT billing during the prior month. The Working Group will also review the current areas of focus for FIF members and the current open issues for CAT Transaction Reporting, CAT CAIS reporting and CAT billing.

The next call for the TRACE Working Group will be on Monday November 11 at 2 pm ET. The Working Group will continue its discussion of 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 will be scheduling a call for the Large Options Positions Reporting Working Group for Tuesday November 12 (time to be determined). The agenda for the call will be to discuss current practices applied by reporting firms to identify In Concert groups for LOPR reporting. If you would like to participate on this call and are not a member of this Working Group, please update your FIF profile or send a note to This email address is being protected from spambots. You need JavaScript enabled to view it..

FIF has scheduled a call for the Section 31 subgroup for Thursday November 14 at 1 pm ET. The subgroup will continue the discussion of a recent pilot by FINRA to provide trade-level details to support reconciliation of Section 31 fees. If you would like to participate on this call and are not a member of this subgroup, please send a note to This email address is being protected from spambots. You need JavaScript enabled to view it.This email address is being protected from spambots. You need JavaScript enabled to view it., and we will include you in this discussion.

Short Position Reporting. FIF hosted three calls this past week for the Short Sales / Reg SHO / Short Reporting Working Group to continue the discussion of the implementation of short position reporting. During the first call, Working Group members provided an update on a call with the SEC staff on October 24. The Working Group continued its discussion of current implementation challenges, including reporting for convertible bonds. During the second call, the Working Group discussed engagement of vendors, the product scope for short position reporting, reporting the issuer LEI, and...

Broadridge Financial Solutions, Inc. announced the launch of Broadridge ClearFi , a new suite of products to help financial intermediaries operating within the Digital Asset space to get out ahead of current and emerging disclosure regulations. ClearFi helps broker-dealers, exchanges, and wallet providers provide their clients and participants with useful on-chain and off-chain information about digital assets, including cryptocurrencies, stable coins, and DeFi innovations made available through their platforms. ClearFi consolidates and aggregates both on-and off-chain information...

Charles Schwab Corp plans to expand the availability of 24-hour trading to include all stocks in major U.S. indexes as well as hundreds of ETFs beginning in about two weeks, the brokerage said in a statement. According to a story in Reuters news, the move comes amid burgeoning interest in extended hours trading from retail investors that is driving some brokers and exchanges to expand their offerings. Schwab said it plans a slow rollout of the expanded trading capacity, starting with its most active traders, and won't begin the process until the week after the Nov. 5 U.S....

S&P Global Market Intelligence and MarketAxess have announced a strategic data partnership aiming to increase transparency and efficiency for the fixed income markets. According to a story in The Trade news, S&P Global bond reference data will be integrated into MarketAxess’ suite of data products, while MarketAxess CP+ real-time pricing will also be included into S&P Global’s evaluated bond pricing. MarketAxess CP+ is a real-time bond pricing source for global credit, rates and emerging markets powered by AI and proprietary data. The source is used by clients for price...