The next meeting of the Rule 606 Working Group is scheduled for Tuesday, August 10, 2021 at 2 pm ET. The Working Group will continue its discussion of look-through for Rule 606 reporting of options routing and requesting interpretive guidance from the Securities and Exchange Commission.
POSTED Aug 09,2021
Later today, FIF will send a survey to FIF members on Rule 605 for options. This is an opportunity for FIF members to provide input to the SEC before the SEC issues a rule proposal in this area. FIF requests that members provide their survey responses by September 13, 2021. Earlier responses are also welcome. All responses are anonymized.
POSTED Aug 09,2021
The FIF Rule 606 Working Group met on July 29, 2021 to discuss look-through for Rule 606 reporting of options routing and to review a draft request for interpretive guidance relating to this issue. FIF will send out a survey this week requesting feedback from FIF members on next steps for FIF relating to this issue.
POSTED Aug 02,2021
On July 22, 2021, FIF sent a survey to FIF members requesting feedback on the reporting of accountHolderType in CAT Allocation events in place of reporting TIDType. FIF requested that firms respond by July 30, 2021. FIF would like to thank the firms who responded to this survey as this will assist FIF in determining its next steps on this issue. The FIF CAT CAIS Working Group will review these responses on today’s Working Group call.
POSTED Aug 02,2021
The FIF Rule 605 Working Group met on July 29, 2021 to discuss FIF’s July 16, 2021 call with the SEC staff relating to Rule 605 for options. The July 16 call was requested by the SEC staff, who are considering the expansion of Rule 605 to cover options. FIF will be sending a survey to FIF members this week requesting feedback on next steps for FIF relating to this topic.
POSTED Aug 02,2021
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