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), (ii) the rule filing by FINRA to amend Short Interest Reporting (FINRA Rule 4560; proposed FINRA Rule 4321). 

FIF has scheduled a webinar on Electronic Communications Compliance for Tuesday May 19 at 2 pm ET. The moderator for the webinar will be Holly Dito of Daiwa. The panelists will be Meredith Abrams of the Simpson Thacher law firm, Thoreau Bartmann of the K&L Gates law firm, Rajni Chidambaram of Interactive Brokers, and Donald McElligott of Global Relay. FIF has invited the members of the Compliance and Surveillance Working Group for this webinar. If you would like to submit any questions for the webinar to be raised anonymously, please send them to fifinfo@fif.com.

FIF would like to remind users that if you would like to access the CAT Counterparty Utility, update your profile and subscribe to the CAT Counterparty Utility under “distribution list” at the bottom of your profile, then submit the changes. The program office will add the permissions onto your account in short order. Once you have access to the Utility, check your firm’s data on there to make sure it’s up to date. If your firm’s data is not up to date or it’s missing, reach out to fifinfo@fif.com and work with Kevin to get the information updated. The Utility is open to non-members as well, so if you’d like to send your clients or business partners our way, they can get in contact with us at fifinfo@fif.com.

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 April 28 at 1 pm ET and will focus on the sections of the CAT Concept Release relating to the Content and Scope of CAT Transaction Reporting. The second call will be on Wednesday April 29 at 2 pm ET and will provide an update on an April 24 call with FINRA CAT. The third call will be on Thursday April 30 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.

FIF has scheduled a call for the Rule 605 Working Group for Tuesday April 28 at 2 pm ET. The Working Group will continue its discussion of a letter to the SEC with questions and comments on the Rule 605 FAQs. The Working Group will also discuss Rule 605 reporting for limit up-limit down scenarios and a draft Rule 605 Fact Sheet prepared by FIF members.