FIF is pleased to welcome Jump Trading LLC to the FIF Community.

FIF has scheduled its annual FIF CAT webinar for Thursday December 9 at 4pm ET. Panel participants include Shelly Bohlin of FINRA CAT, Jon Kroeper of FINRA, Will Leahey of Refinitiv, and Mitvin Shah of Société Générale. In order to attend this webinar, please register here. If you have any questions, please email us at This email address is being protected from spambots. You need JavaScript enabled to view it.

FIF has set up a new Securities Lending Transparency Working Group. This Working Group will discuss and prepare a comment letter on the SEC’s November 18 rule proposal to create a new reporting system for securities lending. The reporting system, as proposed by the SEC, will apply to equities and bonds, including corporates, Treasuries, Agencies, asset and mortgage-backed securities, and municipal securities. The reporting system, as proposed, will include transaction and position reporting. To subscribe to this group, please either update your profile or email us at This email address is...

The Rule 606 Working Group will meet on Tuesday November 30 at 2pm ET to continue its discussion of a draft comment letter on FINRA Regulatory Notice 21-35, “FINRA Requests Comment on Proposed Order Routing Disclosure Requirements for OTC Equity Securities and Potential Steps to Facilitate Investor Access to Current Order Routing Disclosures for NMS Securities.” The Working Group also will discuss supplemental information to be submitted to the SEC relating to options look-through.

FIF has a call with FINRA personnel on Tuesday November 30 at 3pm ET to discuss FIF member questions relating to the Supplemental Liquidity Schedule (SLS) recently adopted by FINRA (see FINRA Regulatory Notice 21-31). The SLS takes effect on March 1, 2022. If you are interested in participating in discussions with other FIF members on this topic, please send a note to This email address is being protected from spambots. You need JavaScript enabled to view it..

On October 15, 2021, FINRA filed SR-FINRA-2021-029 with the SEC, “Proposed Rule Change to Amend FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)”. FIF has scheduled a call for the TRACE Working Group for Thursday December 2 at 11am ET to discuss FIF member comments on the rule filing.

The next monthly FIF CAT Committee call is scheduled for Thursday December 2 at 2pm ET. The CAT Committee will review guidance and updates from the SROs during the prior month, current areas of focus for FIF members, and the current open issues for CAT transaction reporting and CAT CAIS reporting.

On Wednesday December 15 at 10am ET, Alaina R. Clark, Assistant Director for Stakeholder Engagement at the Cybersecurity and Infrastructure Security Agency (CISA), will present to a joint call of the FIF Cybersecurity and Compliance Working Groups. CISA is an agency of the Department of Homeland Security. Ms. Clark will discuss the role and functions of CISA, CISA’s current areas of focus, recommendations for industry members on cybersecurity processes and management and reporting of cybersecurity incidents, and opportunities for enhanced cooperation between the industry and federal...

Please join us December 7 from 5:30-8:30pm ET for an in-person joint Holiday Party of FIF and FISD Members. This event will be strictly social and there will be no FIF panel discussion, therefore, there will be a $50 charge for all of those interested in attending. The event will take place at Tavern 29 in midtown Manhattan. This event is for FIF/FISD Members exclusively and there are only 95 spots available, so secure your spot today! After registering here, you will be sent to PayPal to pay the $50 entry fee for the event. If you have any questions, please don't hesitate to email us at...