Data & Technology Committee

The Data and Technology Committee will have its next call on Wednesday November 30 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets. The spotlight presenter will be Brent Yates of IEX, who will discuss IEX cloudSwXtch.

POSTED Nov 28,2022

CAT Monthly Update Working Group Call

The FIF CAT Monthly Update Working Group call for December will be on this Thursday December 1 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT transaction reporting and CAT CAIS reporting during the prior month. The Working Group also will review the current areas of focus for FIF members and the current open issues for CAT transaction reporting and CAT CAIS reporting.

POSTED Nov 28,2022

Rule 606 Working Group

FIF has scheduled two calls for the Rule 606 Working Group. The first call is scheduled for Monday December 5 at 1 pm ET and will focus on the rule filing submitted by FINRA to the SEC on Disclosure of Order Routing Information for OTC Equities (SR-FINRA-2022-031). The second call is scheduled for Tuesday December 6 at 2 pm ET and will focus on the recent Risk Alert published by the SEC’s Division of Examinations on Observations Related to Regulation NMS Rule 606 Disclosures.

POSTED Nov 28,2022

Fractional Share Orders

On Tuesday December 6 at 2 pm ET, FIF will host a joint call for the Compliance and Surveillance Working Group and the Back Office and Front Office Committees focused on fractional share orders. Topics of discussion will include proxy voting for fractional share positions, requesting DTCC to facilitate the transfer of fractional positions, fractional share workflows and TRF reporting. If you are not a member of the Compliance and Surveillance Working Group or the Back Office or Front Office Committee and you would like to join this call, please contact, and we will include you on the call.   

POSTED Nov 28,2022

© 2022 Financial Information Forum

Press enter to search
Press enter to search

Interested in joining us?

Download membership kit

Key Reasons to Join

  1. Stay informed on Current Regulatory and Market Initiatives
  2. Drive Industry Issues to Successful Resolution
  3. Impact the implementation timing and methodology of new rules
  4. Apply FIF Insight Within Your Firm