On April 13, FIF submitted a response to the SEC’s March 3, 2023 “Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities).” FIF would like to thank the members of the FIF Rule 606 Working Group for their contributions in the drafting of this response letter.
POSTED Apr 17,2023
FIF has scheduled an additional call this week for the CAT Transaction Reporting Working Group to continue the discussion of the mechanics of the CAT fee collection process. This call is scheduled for Monday April 17 at 2 pm ET.
POSTED Apr 17,2023
FIF has scheduled a call for the Cybersecurity Working Group and the Compliance and Surveillance Working Group for Monday April 17 at 4 pm ET. The agenda for the call will be to discuss a rule filing submitted by The Options Clearing Corporation to the SEC that would require immediate notification of security incidents to the OCC and various follow-up notification requirements.
POSTED Apr 17,2023
FINRA CAT has scheduled a Tech Specs Working Group call for Tuesday April 18 at 9 am ET. Presumably on this call FINRA CAT will review the April 11 updates to the CAT Technical Specifications document. FIF has forwarded the invite for this call to the members of the FIF CAT Transaction Reporting Working Group.
POSTED Apr 17,2023
The Back Office Committee will have its next call on Tuesday April 18 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
POSTED Apr 17,2023
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