FIF News

New FIF Member - Natixis

FIF welcomes Natixis as our newest member firm. 

Posted Sep 09, 2019

FIF to Issue Call for Participation - Financial Exploitation of Seniors

This week, FIF will be disseminating an a call for participation on a working group that will be formed with the intent of providing FINRA comment on Reg Notice 19-27.  The intent of this working group will be to assess the current rules in place designed to protect seniors from exploitation, and to provide recommendations on potential amendments to the rule as well as to assess any potential systems impacts.

Posted Sep 03, 2019

FINRA CAT Publishes Updated CAT Technical Specifications

On Friday, August 30, FINRA CAT and the SROs published an updated Industry Member CAT Technical Specification and an updated CAT Scenarios Document.  FIF will review the recent changes during the the Tuesday, September 3rd FIF CAT Tech Spec Requirements Working Group meeting.

Posted Sep 03, 2019

Upcoming CAT NMS Industry Webinar

On Wednesday, August 28th @ 4:15pm, CAT NMS will hold an industry-wide webinar on the security of CAT data. Please find dial-in information here.

Posted Aug 26, 2019

FIF CAT Working Group – Change in Structure

Given the volume of current and anticipated CAT-related workstreams, FIF is slightly changing the structure of the CAT Working Group.  Going forward, the CAT Working Group will be managed as a Committee.  Separate workstreams (i.e. FDID, CAT Operations) will be run through the CAT Committee, allowing all members of the CAT Working Group access to meeting invites/work product of each separate workstream.  The CAT Tech Spec Working Group will remain unchanged, and fall under the Committee’s umbrella.  As needed, FIF will form separate subgroups to address specific topics (i.e. Paired Options Orders, Complex Options).  The intent of this revised structure is to lessen the burden on our members to sign up for the separate subgroups, and to provide better access to all relevant CAT-related information.  If you have any questions, please send an email to

Posted Aug 26, 2019