FIF - Financial Information Forum

Rule 606 Working Group

On September 30, members of the FIF Rule 606 Working Group met with the staff of the SEC’s Division of Trading and Markets to discuss the challenges with Rule 606 look-though for options. The next meeting of the FIF Rule 606 Working Group is scheduled for Thursday October 14 at 10am ET. During this meeting, Working Group members will review a draft request for exemptive relief relating to options look-through to be submitted by FIF to the SEC. Working Group members also will discuss Rule 606 reporting for multi-leg orders and FINRA’s recent Regulatory Notice 21-35, which proposes to extend Rule 606 reporting to OTC equities.

POSTED Oct 11,2021

Additional CAIS Working Group Meeting to Review Reporting Scenarios

Because of the large number of issues that the CAIS Working Group is currently reviewing, FIF has scheduled an additional CAIS call for Monday October 11 at 11am ET. This call will focus on the continuing review of the most recent updates to the Full CAIS Reporting Scenarios. This call is in addition to the standing Wednesday and Friday CAIS Working Group calls.

POSTED Oct 11,2021

Spotlight Presentation on Recent SEC Fines Relating to PII

On Tuesday, October 12, 2021 at 11am ET, Peter Chan and Valerie Mirko of the Baker McKenzie law firm will discuss the recent SEC fines against firms for failure to protect personally identifiable information (PII) of customers. This will be a spotlight presentation during the October Cybersecurity Working Group call. The invite for this presentation has been sent to all members of the FIF Cybersecurity Working Group and the newly-created FIF Compliance Working Group. If you are interested in participating on this call and do not have the invite in your calendar, please update your profile and add yourself to either the Cybersecurity Working Group or the newly formed Compliance Working Group. Email us at fifinfo@fif.com if you have any questions.

POSTED Oct 04,2021

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The Financial Information Forum (FIF) addresses the implementation issues that impact the financial technology industry across the order lifecycle.

 

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FIF prepares comment letters and discussion documents based on member input that contribute to changes in implementation time frames and methodology.

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FIF forms topic-oriented working groups to address implementation issues associated with new initiatives.
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