INITIATIVE TRACKING - OVERVIEW

FIF Provides members with the FIF Initiative Summary Table with updates on applicable regulatory initiatives.​

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Entity Initiative
SEC/SROsShort Sale Regulation (Rule 201 and Order Marking FAQs)
SEC/SROsConsolidated Audit Trail (CAT)
SEC/SROsRegulation SCI / Market Stability
SROsClearly Erroneous Executions
SECLarge Trader Reporting
SROsLimit Up-Limit Down (LULD)
SECAdditional SEC Initiatives
IRS/TAXForeign Account Tax Compliance Act (FATCA)
IRS/TAXCost Basis Reporting
FINRATrade Reporting and Compliance Engine (TRACE)
FINRAOver-the-Counter Reporting Facility (ORF)
FINRAFINRA Rule 4210 - MBS Margining
FINRAFINRA Comprehensive Automated Risk Data System (CARDS)
FINRAFINRA ATS Transparency
FINRAFINRA Rule 2090/2111 Know Your Customer/Suitability
FINRAOrder Audit Trail (OATS)
FINRALarge Options Position Reporting (LOPR)
ISGElectronic Blue Sheets (EBS)
MSRBCentral Transparency Platform
SIFMAIndustry BCP Testing
SROsMarket Share Analysis
DTCCNSCC Universal Trade Capture (UTC)
DTCCDTCC Corporate Actions Re-engineering
DTCCDTCC Cost Basis Reporting Service (CBRS)
SECShort Sale Reporting Study
OFR/DTCCLegal Entity Identifier (LEI)
DTCCDTCC Limit Monitoring
DTCCACATS (including Mutual Fund Transfers)
DTCCNSCC Obligation Warehouse
DTCCFICC Government Securities Division (GSD)
DTCCAdditional DTCC Updates
NYSEAccount Type Indicator
SROsCommon Suffix Symbology
SROsOptions Penny Pricing Pilot
SROsAdditional Options Initiatives
SECLost Securityholders and Unresponsive Payees
DTCCWealth Management Services - Mutual Funds
FINRAFINRA Rules 4314, 4330, and 4340
DTCCCorporate Bond, Municipal Bond, UIT (CMU) Real-Time Trade Matching (RTTM)
SECBroker-Dealer Reporting
DTCCRAD Default
FINRAFINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
DTCCSettlement Matching
FINRATrade Reporting
CBOEExtended Trading Hours
Exchanges/SIPsMarket Data Capacity
SECFinancial Responsibility Rules
FINRAAdditional FINRA Rules/Notices
MSRBOther MSRB Rules and Interpretive Guidance
SROsAdditional Equities Initiatives
CFPBElectronic Funds Transfer (Regulation E) Rule
SROsT+2 Settlement
CBOEOptions Tied to Stock
SEC/SROsCybersecurity
FINRAFINRA Self-Trading - (SR-FINRA-2013-036)
FINRAFINRA Hybrid Securities
FIFArchive Initiatives
SEC/SROsTick Size Pilot
SECMoney Market Fund Reform
DTCCOTC Market Impact of European T+2 Settlement
OCCMandate Customer ID on Post Trade CMTA Transfers
SROsMarket Dynamics Analysis
CBOECBOE Regulatory Request Reporting Format
FINRAFINRA Equity Trading Initiatives - OATS/ATS Trade Reporting
FINRAFINRA Equity Trading Initiatives - Clock Synch
FINRAFINRA Equity Trading Initiatives - Trade Sequencing
FINRAFINRA/MSRB - Confirmation Disclosure of Fixed Income Pricing Information
Exchanges/SIPsEquity SIP Expanded Message Header Formats
NYSEPillar Platform Change
DTCCNSCC Real-Time QSR and Correspondent Clearing
Exchanges/SIPsSale Condition Modifiers
SROsExchange Traded Managed Funds (ETMFs)
Issuing EntityExchanges
ExchangesNSX Reopening
Exchanges/SIPsNSX Reopening
ExchangesBATS EDGX Options Launch
Issuing EntityBOX
SROsProfessional Customer Designation
MSRBBest Execution for Municipal Transactions
Issuing EntityMSRB
FINRAGuidance on Best Execution Obligations
SECReg ATS-N
FINRATRACE "No Remuneration" Indicator
FINRATRACE ABS
FINRATRACE Non-Member Affiliate Reporting
FINRATRACE Reporting of ATS Transactions
SEC/FINRARegulator Examination Priority
Issuing EntitySEC/FINRA
Issuing EntityIIROC
IIROCGuidance on Time Synchronization
NYSERequirements for OffExchange Transactions
FINRAClock Synchronization
FINRAEnhanced Price Disclosure
Issuing EntityTMPG
TMPGFail Charge
TMPGBest Practice Guidance to Address the Use of Financial Benchmarks
SEC/FINRASection 31 Transaction Fees
FINRASecurities Trader Registration
FINRAFINRA Rule 6121.01
FINRAFINRA 2232 (Customer Confirmations)
MSRBMSRB Proposed Rule Changes to Rule G-15 and Rule G30
FINRAAlternate Display Facility
SECDisclosure of Order Handling Information
SECCovered Clearing Agency
MSRBMark-Up/Mark-Down
FINRAFINRA - Electronic Blue Sheets (EBS)
OCCAdditional OCC Updates
BOXBOX Rule Filings
Issuing EntityDOL
DOLDepartment of Labor (DOL)
ExchangesBATS