On October 20, FIF submitted a letter to the SEC to request (i) written interpretive guidance that a routing firm is not required to report to CAT port settings applied by a receiving firm, or (ii) in the alternative, exemptive relief to the same effect. FIF would like to thank the members of the CAT Transaction Reporting Working Group for their contributions in the drafting of this letter.
POSTED Oct 27,2025
The next call for the Rule 605 Working Group will be on Monday October 27 at 2 pm ET. The Working Group will continue its discussion of open interpretive questions relating to implementation of the Rule 605 amendments, including reporting for different order types.
POSTED Oct 27,2025
FIF is hosting a webinar on Best Execution for the Compliance and Surveillance Working Group. The webinar will be on Monday October 27 at 3 pm ET. The moderator will be Scott Trilling of Fidelity. The panelists will be Mark Davies of S3, Derek Lacarrubba of the K&L Gates law firm, and Ted Karn of The Karn Group. If you would like to submit any questions or topics for the webinar, please send them to fifinfo@fif.com.
POSTED Oct 27,2025
The Front Office Committee will have its next call on Tuesday October 28 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.
POSTED Oct 27,2025
FIF has scheduled a call for Tuesday October 28 at 3 pm ET to review a draft FIF letter to the SEC relating to the implementation date for the Reg NMS amendments relating to minimum pricing increments and access fee caps. FIF has invited the members of the Data and Technology Committee and the Equity Market Regulations Working Group to participate on this call.
POSTED Oct 27,2025
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