Skip to main content

Login

Register

FIF
- FIF Events
- Calendar
Working Groups
FIF CAT
Tools
Join FIF

Register

Contact Us
Login

FIF
Member Directory

FIF members include industry-leading broker-dealers, vendors, and exchanges

Learn More
FIF Events
Upcoming and past conferences, panel discussions, and networking gatherings

Calendar
A calendar of upcoming industry events & meetings

Comment Letters
Provides access to regulatory feedback and formal responses

News
A news page featuring FIF announcements, event updates, and related financial-industry news.

Advisory Committee
Allows members to manage committee participation and access topic-focused working groups

About FIF
Learn about FIF’s mission, membership, services
Working Groups
Working Groups

The Financial Information Forum (FIF) leads collaborative working groups that help financial firms navigate regulatory requirements
Back Office
Provides guidance on implementation issues and rule changes affecting securities processing and reporting

Front Office
Addresses trading-system and regulatory issues affecting equities, options, and OTC securities, including CAT and OATS reporting requirements.

Data & Technology
Discusses market data and technology trends, innovations, capacity, technical updates, and regulatory impacts.
All Other Working Groups
FIF CAT
FIF CAT Overview

FIF collaborates with industry stakeholders, plan participants, processors, and regulators to enhance CAT reporting specifications and processes as reporting expands to new message types and account information while maintaining accuracy, efficiency, and regulatory alignment.

Overview Page
CAT Tools
FIF CAT Resources
Learn More

FIF CAT Utility
Learn More
Consolidated Audit Trail (CAT)

All FIF Members are welcome to join the FIF CAT Working Groups. For more information contact fifinfo@fif.com
CAT Transaction Reporting Co-Chair
David Alazraki, Fidessa

CAT Transaction Reporting Co-Chair
Mitvin Shah, Societe Generale

CAT CAIS Co-Chair
Mark Hendrickson, DA Davidson

CAT CAIS Co-Chair
Jacki VanMoer, Goldman Sachs
Overview Page
Tools
FIF Tools
Fixed Income Platform Order Data

Regulatory Implementations Calendar

SEC/SRO Updates

Market Data Capacity Statistics Downloader

606 Interchange

FIF Presentations on Rule Proposals and Rule Adoptions
See All
Popular Tools

606 Interchange

Pursuant to SEC Rule 606(b)(3)

Fixed Income Platform Order Data

The FIF Fixed Income Regulations and Compliance and Surveillance

Market Data Capacity Statistics Downloader

View, filter, search & download
Join FIF

Login

Register

SMBC Nikko Securities America Inc.

BROKER-DEALER

Firm Type:: BROKER-DEALER
Website:: https://www.smbcnikko.co.jp/en/index.html

Contact

Financial Information Forum

212-422-8568
This email address is being protected from spambots. You need JavaScript enabled to view it.
Privacy Policy

Who We Are

The Financial Information Forum (FIF) addresses the implementation issues that impact the financial technology industry across the order lifecycle.

Developer

FIF prepares comment letters and discussion documents based on member input that contribute to changes in implementation time frames and methodology.

Working Groups

FIF forms topic-oriented working groups to address implementation issues associated with new initiatives.
More here

© Financial Information Forum