On July 16, 2021, FIF Members participated on a call with FINRA CAT personnel during which FINRA CAT personnel provided feedback on questions and comments previously submitted by FIF. FIF will review this feedback on the next CAT CAIS Working Group call, which is scheduled for Wednesday, July 21 at 11am ET.
POSTED Jul 19,2021
On July 8, the FIF Reg SHO Working Group held its first call to discuss a comment letter on FINRA Regulatory Notice 21-19, “Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”. Certain aspects of the proposals in the Regulatory Notice would significantly expand the current short interest reporting requirements. The next meeting to discuss the comment letter will be held on Tuesday July 13 at 2 pm (ET). All members of the FIF Reg SHO Working Group are included on the invite. To join the Reg SHO Working Group, update your profile, or contact fifinfo@fif.com for assistance.
POSTED Jul 12,2021
Last week on July 8th, FIF hosted an engaging webinar on the SEC’s market access rule (Rule 15c3-5). FIF has received many positive reviews on the webinar and we would like to thank Wayne Aaron, Lillian Tan and Jim Dolan for their participation in the panel discussion. If your firm is a FIF Member and would like a copy of the presentation or webinar recording, please email us at fifinfo@fif.com.
POSTED Jul 12,2021
An FIF Member has raised a question about how to report capacity on a Rule 10b-10 confirmation when a firm routes orders to an ATS and the orders can only execute against orders routed from other desks at the same routing firm. If you would like to participate in a sub-group discussion on this topic, please contact fifinfo@fif.com.
POSTED Jul 12,2021
POSTED Jul 12,2021
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