FIF has scheduled a call for Monday April 29 at 2 pm ET to discuss next steps in response to the March 22 FINRA Trade Reporting Notice on Upcoming Trade Reporting Enhancements for Fractional Share Transactions. FIF has invited the members of the Data and Technology Committee and the TRF/ORF Working Group to participate on this call.

FIF has scheduled the next call for the FIF Short Sales / Reg SHO / Short Reporting Working Group for Monday April 29 at 3 pm ET. The Working Group will continue its review and discussion of a draft FIF letter to the SEC requesting guidance on the implementation of SEC Rule 13f-2 on Short Position and Short Activity Reporting.  

FIF has scheduled the next call for the Rule 606 Working Group for Tuesday April 30 at 12 pm ET. The Working Group will review a draft follow-up letter to FINRA relating to the implementation of FINRA Rule 6151 (centralized reporting of Rule 606(a) reports to FINRA). The Working Group will also discuss issues and questions from FIF members relating to Rule 606.

FIF has scheduled the next call for the Rule 605 Working Group for Tuesday April 30 at 3 pm ET. The Working Group will continue its review and discussion of the changes to Rule 605 that the SEC adopted on March 6. The Working Group will review and discuss a draft FIF comment letter to the SEC relating to implementation of the changes to Rule 605.

The next call for the CAT CAIS Working Group will be on Wednesday May 1 at 11 am ET. The next call for the CAT Transaction Reporting Working Group will be on Wednesday May 1 at 2 pm ET.

The FIF CAT Monthly Update Working Group call for May will be on Thursday May 2 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 reporting 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.

FIF has scheduled a call for the ATS Working Group for Tuesday May 7 at 11 am ET. The agenda for the call will be to review questions from an FIF member relating to Form ATS-R. This will be a half-hour call.

At the request of FIF members, FIF is planning to schedule a call on CAIS reporting by firms that clear for third-party correspondent firms. The call will focus on the CAIS reporting scenario where two clearing firms report for the same correspondent firm and there is a material inconsistency. If you would like to participate on this call, please send a note to This email address is being protected from spambots. You need JavaScript enabled to view it..

SEC Rule on Short Position and Short Activity Reporting. The FIF Short Sales / Reg SHO / Short Reporting Working Group continued its review and discussion of implementation issues relating to SEC Rule 13f-2 on Short Position and Short Activity Reporting. The Working Group continued its review of a draft FIF letter to the SEC requesting guidance on the implementation of Rule 13f-2.  Rule 605 Working Group. The Rule 605 Working Group continued its review and discussion on the changes to Rule 605 that the SEC adopted on March 6, including the following issues and topics: time for...