SEC Rule on Short Position and Short Activity Reporting

FIF has scheduled two calls this week for the Short Sales / Reg SHO / Short Reporting Working Group. The first call will be on Tuesday June 11 at 11 am ET; the second call will be on Thursday June 13 at 3 pm ET. The Working Group will continue its review and discussion of a draft FIF letter to the SEC requesting guidance on the implementation of SEC Rule 13f-2 on Short Position and Short Activity Reporting. The Working Group will also discuss issues and questions from FIF members relating to the implementation of Rule 13f-2.

POSTED Jun 10,2024

CAT CAIS and CAT Transaction Reporting Working Groups

FIF has scheduled an additional call this week for the CAT Transaction Reporting Working Group. The call will be on Tuesday June 11 at 1 pm ET and will focus on reviewing and discussing a draft FIF exemptive request to the SEC relating to linkage of representative to customer orders and linkage of order fulfillments to representative and principal orders. This call will be in addition to the regularly-scheduled weekly call for the CAT Transaction Reporting Working Group, which will be on Wednesday June 12 at 2 pm ET. The next call for the CAT CAIS Working Group will be on Wednesday June 12 at 11 am ET. 

POSTED Jun 10,2024

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