FIF has scheduled a joint call for the SLATE and Short Sales / Reg SHO / Short Reporting Working Group for Monday September 8 at 3 pm ET. The Working Groups will discuss the September 5 statement by SEC Chairman Atkins regarding Rules 10c1-a and 13f-2. 

FIF has scheduled a joint call for the Data and Technology Committee and the Equity Market Regulations Working Group for Wednesday September 10 at 11 am ET. The Working Groups will continue the review and discussion of the documentation published by SIAC and the UTP relating to odd-lot data being added to the SIP market data feeds.

FIF has scheduled a joint call for the CAT Transaction Reporting and CAIS Working Groups for Wednesday September 10 at 2 pm ET. The Working Groups will discuss CAT billing, CAT costs and other issues relating to CAT reporting.

FIF has scheduled a call for the SLATE Working Group for Thursday September 11 at 11 am ET. The Working Group will discuss a draft FIF letter to the SEC with comments and questions relating to the implementation of SLATE.

The CAT Monthly Update Working Group call for September will be on Thursday September 11 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 Section 31 Fees subgroup will have its next call on Monday September 15 at 3 pm ET. The subgroup will continue its discussion of enhancing the process for reconciliation of the FINRA Regulatory Transaction Fee. The subgroup will also discuss the handling of residual Section 31 fees. If you would like to participate in this discussion 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., and we will include you in this discussion.

The Back Office Committee will have its next call on Thursday September 18 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. The spotlight presenter will be Ian Springle of ICE, who will provide an update on the current status of the ICE Treasury Clearing application.  

SLATE and Short Sale Working Groups. FIF hosted a joint call for the SLATE and Short Sales / Reg SHO / Short Reporting Working Groups. The Working Groups discussed FIF scheduling a call with the SEC to request a stay of the Securities Loan Reporting and Short Position Reporting rules given the decision by the 5th Circuit to remand these rules back to the SEC. The Working Groups discussed a request by FINRA for a call with FIF members to discuss comments previously submitted by FIF relating to SLATE reporting. SIP Odd Lots. FIF hosted a joint call for the Data and Technology Committee and...

Marex Group has begun offering China Internationalized Futures Contracts, providing clients with direct connectivity to 24 Chinese futures and options products for electronic execution and clearing. The contracts now available on the Marex platform represent products from three internationalised futures exchanges – the Shanghai International Energy Exchange (INE), the Dalian Commodity Exchange (DCE) and the Zhengzhou Commodity Exchange (ZCE) – in agricultural commodities, energy, metals and freight. The launch follows the earlier receipt of approval from the China Securities Regulatory...