The Short Sales / Reg SHO / Short Reporting Working Group will have its next call on Tuesday February 18 at 11 am ET. The Working Group will discuss a draft letter to the SEC as a follow-up to the SEC’s February 7 Exemptive Order to extend the compliance date for Form SHO reporting.
POSTED Feb 18,2025
The Back Office Committee will have its next call on Tuesday February 18 at 2 pm ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
POSTED Feb 18,2025
The next call for the SEC Rule 606 and FINRA Rule 6470 Working Group will be on Tuesday February 18 at 3 pm ET. The Working Group will discuss a draft FIF letter to the SEC and FINRA on SEC Rule 606(a) and the implementation of FINRA Rule 6470.
POSTED Feb 18,2025
FIF has scheduled two CAT Working Group calls for this week. The first call will be a joint call for the CAT Transaction Reporting and CAT CAIS Working Groups on Wednesday February 19 at 11 am ET. During this call, the Working Groups will discuss a draft FIF letter in response to the SEC’s February 10 Exemptive Order to remove PII from CAT. The second call will be for the CAT Transaction Reporting Working Group and is scheduled for Wednesday February 19 at 2 pm ET. The second call will focus on the BFMM Flag, port settings, representative order linkage, CAT costs and other CAT Transaction Reporting issues.
POSTED Feb 18,2025
FIF has scheduled the next call for the SLATE Working Group for Thursday February 20 at 11 am ET. The Working Group will continue its discussion of the SEC approval of the FINRA rule filing for SLATE and current open interpretive issues. The Working Group will also review FINRA’s February 12 updates to the SLATE Technical Specification. The Working Group will also continue its discussion of the January 24 blog by Robert Cook, President and CEO of FINRA, titled “Implementing the SEC’s Securities Lending Reporting Requirements.”
POSTED Feb 18,2025
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