FIF has scheduled a webinar on Trade Surveillance for Wednesday July 23 at 2 pm ET. The moderator for the panel will be Holly Dito of Daiwa. The panelists will be Ted Karn of The Karn Group, Derek Lacarrubba of the K&L Gates law firm, Chris Montagnino of Jordan and Jordan, and Jeremy Vest of S3. FIF has invited the members of the FIF Compliance / Surveillance Working Group to participate on this call.
POSTED Jun 30,2025
On June 17, FIF submitted a letter to the SEC and FINRA with additional comments and questions relating to SLATE implementation. FIF would like to thank the members of the SLATE Working Group for their contributions in the drafting of this letter.
POSTED Jun 23,2025
On June 17, FIF submitted a letter to the Treasury Department’s Office of Financial Reporting relating to the requirement for Covered Reporters to report positions in non-centrally cleared bilateral repos. The letter discusses (i) reporting for the scenario where the closing leg of a repo does not settle on the scheduled end date and (ii) the current resubmission process. FIF would like to thank the members of the OFR Repo Reporting Working Group for their contributions in the drafting of this letter.
POSTED Jun 23,2025
On June 18, FIF submitted a letter to the CAT Plan Participants and FINRA CAT requesting a postponement of the planned changes to the CAIS compliance error rate calculations pending the SEC’s decision on proposed amendments to the CAT NMS Plan relating to PII. FIF would like to thank the members of the CAT CAIS and CAT Transaction Reporting Working Groups for their participation in the drafting of this letter.
POSTED Jun 23,2025
FIF has scheduled the next call for the Short Sales / Reg SHO / Short Reporting Working Group for Monday June 23 at 11 am ET. The Working Group will review the first draft of an FIF letter requesting an extension of the current compliance date for Form SHO reporting.
POSTED Jun 23,2025
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