On March 2, 2022, FIF submitted a comment letter on the request submitted by the SEC to the Office of Management and Budget for approval of an extension of the previously approved collection of information provided for in Rule 606. FIF would like to thank the members of the FIF Rule 606 Working Group for their active participation in the drafting of this comment letter.
POSTED Mar 07,2022
For this week, FIF has scheduled an additional call for the CAT Transaction Reporting Working Group. The call will be on Monday March 7 at 2 pm and will focus specifically on the issue of linkage of representative and customer orders. For this week’s regularly-scheduled CAT Transaction Reporting Working Group call on Wednesday March 9 at 2 pm, FINRA CAT personnel will present, and solicit feedback, on potential approaches to enhance the CAT Transaction Reporting feedback process and reduce CAT operating costs.
POSTED Mar 07,2022
On Tuesday March 1 at 11am ET, Ignacio Sandoval and Kyle Whitehead of the Morgan Lewis law firm will continue their review of the SEC’s recently-proposed amendments to Regulations ATS and Regulation SCI. The amendments propose to apply Regulation ATS and Regulation SCI to ATSs that trade Treasury and agency securities and repos on those securities. The amendments also propose to expand the ATS definition to include RFQ and other trading systems. The invite for this presentation has been sent to the members of the FIF ATS, Compliance and TRACE/Fixed Income Working Groups and the FIF Front Office and Back Office Committees. If you are interested in attending this presentation and do not have the invite in your calendar, please either update your profile or email us at fifinfo@fif.com.
POSTED Feb 28,2022
The FIF Rule 606 Working Group will meet on Tuesday March 1 at 2pm ET to continue its review of a draft FIF comment letter in response to a recent solicitation by the SEC of comments on the request submitted by the SEC to the Office of Management and Budget for approval of the extension of Rule 606. The Working Group also will review FIF member responses to a survey relating to the volume of Rule 606(b)(3) requests that firms have received. The Working Group also will discuss the FINRA proposal to require Rule 606-type reporting for routes in OTC equities.
POSTED Feb 28,2022
The FIF Securities Lending Transparency Working Group will meet on Thursday March 3 at 11am ET to discuss a request from attorneys in SEC Chair Gensler’s office to engage in discussions with FIF members relating to securities lending workflows and the SEC’s recent rule proposal relating to securities lending transparency.
POSTED Feb 28,2022
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