FIA PTG News
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FIA PTG responds to FINRA TRACE transaction reporting proposal
In a letter filed with the US Securities and Exchange Commission, the FIA Principal Traders Group applauded FINRA for eliminating the harmful manual trade exception previously approved but never implemented, and encouraged FINRA to continue to improve the TRACE regime, including by shortening the reporting timeframe for all transactions.
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FIA PTG proposals to ensure proper governance and lower costs of CAT
In a letter filed with the Securities and Exchange Commission, the FIA Principal Traders Group said it supports the Commission's action to address spiralling Consolidated Audit Trail costs, promote accountability and fashion a reasonable governance framework for the CAT.
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FIA PTG responds to FINRA Rule Modernization Review
The FIA Principal Traders Group welcomes the opportunity to participate in the Modernization Review and commended FINRA for undertaking this worthwhile initiative.
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FIA PTG responds to CFTC request for comment on 24/7 trading and clearing
FIA PTG encouraged the CFTC to confer with the industry through roundtables and other open forums before making a determination to permit widespread 24/7 trading.
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FIA and FIA PTG respond to CFTC perpetual contracts request for comment
FIA and FIA PTG respond to CFTC perpetual contracts request for comment
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FIA PTG comments on transparency and sequencing of the Nasdaq Data Center Equalization Project
In a letter filed with the Securities and Exchange Commission (SEC) today, the FIA Principal Traders Group (FIA PTG) offered comments on Nasdaq's efforts to equalize telecommunications provider access and market participant connectivity across Nasdaq’s entire data center campus (the “Equalization Project
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FIA/FIA PTG respond to IOSCO AI consultation report
FIA and FIA PTG have responded to IOSCO’s Report titled Artificial Intelligence in Capital Markets: Use Cases, Risks, and Challenges
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FIA PTG comments on IEX Options Exchange proposal
In a letter filed with the Securities and Exchange Commission, the FIA Principal Traders Group has raised concerns about Investors Exchange's plans to operate a new options exchange (IEX Options) as a fully automated trading system built on the core functionality of the IEX equities platform.
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FIA and FIA PTG file amicus brief in second FTC non-compete ban appeal
FIA and the FIA Principal Traders Group filed an amicus brief in response to another US Federal Trade Commission appeal of a prior decision involving the FTC's final rule that would have banned nearly all noncompete agreements in the US.
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FIA, FIA PTG, trade associations request extension of US Treasury clearing mandate
FIA, FIA Principal Traders Group and six other financial services trade associations wrote to the SEC requesting an extension of the US Treasury clearing mandate of at least twelve months for both the cash and repo clearing mandates.
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