The Rule 605 Working Group will have its next call on Monday May 11 at 1 pm ET. The Working Group will continue its discussion of issues and questions relating to the Rule 605 amendments that will take effect on August 1.

FIF has scheduled a joint call for the Short Sales / Reg SHO / Short Reporting Working Group and the Compliance and Surveillance Working Group for Monday May 11 at 2 pm ET. The Working Groups will discuss (i) the SEC’s approval of amendments to FINRA’s margin rules (FINRA Rule 4210), and (ii) the rule filing by FINRA to amend Short-Interest Reporting (FINRA Rule 4560; proposed FINRA Rule 4321). 

The Back Office Committee will have its next call on Tuesday May 12 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, and FINRA updates during the past month.

FIF has scheduled three joint calls for the CAT Transaction Reporting and CAT Reference Database Working Groups for this week. The first call will be on Tuesday May 12 at 3 pm ET and will focus on the sections of the CAT Concept Release relating to CAT Design and Scope. The second call will be on Wednesday May 13 at 2 pm ET and will focus on issues and questions from FIF members and recent updates to the FAQs, CAT release schedule, CAT Technical Specifications and other CAT documentation. The third call will be on Thursday May 14 at 11 am ET and will focus on the sections of the CAT Concept Release relating to the replacement of EBS with a request and response system.

The next call for the 24x7 Trading Working Group will be on Wednesday May 13 at 11 am ET. The Working Group will discuss issues and questions from FIF members relating to Rule 10b-10 confirmations, allocations, and other topics. The Working Group will also review recent rule filing developments and provide an update on a recent call with FIF members and Treasury Department personnel.