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Front Office Committee

The Front Office Committee will have its next call on Tuesday April 22 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.

POSTED Apr 21,2025

SEC Transition Working Group

The next call for the SEC Transition Working Group will be on Wednesday April 23 at 11 am ET. The Working Group will discuss a revised draft letter to the SEC Commissioners that identifies current implementation issues for the SEC to address. 

POSTED Apr 21,2025

CAT Transaction Reporting Working Group

The CAT Transaction Reporting Working Group will have its next call on Wednesday April 23 at 2 pm ET. The Working Group will continue its discussion on the CAT fee dispute resolution process and the reporting of handling instructions values. 

POSTED Apr 21,2025

Short Interest Reporting

FIF has scheduled a call for the Short Sales / Reg SHO / Short Reporting Working Group for Thursday April 24 at 10 am ET. The Working Group will review a draft comment letter in response to FINRA Regulatory Notice 25-04 (FINRA Launches Broad Review to Modernize Rules Regarding Member Firms and Associated Persons) to recommend changes to short interest reporting.

POSTED Apr 21,2025

FIF Webinar on Electronic Communications Surveillance

On Monday April 28 at 3 pm ET, FIF is hosting a webinar on Electronic Communications Surveillance. The moderator for the panel will be Holly Dito of Daiwa. The panelists will be Rajni Chidambaram of Interactive Brokers, Erin Clemens of StoneX, Donald McElligott of Global Relay, and Craig Warkol of the Schulte Roth law firm. FIF has invited the members of the Compliance and Surveillance Working Group to participate in this webinar. If you would like to participate in this webinar and are not a member of this Working Group, please update your FIF profile or contact fifinfo@fif.com.

POSTED Apr 21,2025

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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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