FIA PTG News
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FIA PTG responds to FINRA proposal to shorten reporting windows for some bond contracts
In a letter filed with FINRA today, the FIA Principal Traders Group (FIA PTG) supported a proposal to shorten reporting times in corporate bonds, agency debt securities, asset-backed securities and agency pass-through mortgage-backed securities traded to-be-announced for good delivery.
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FIA PTG joins other trade associations in responding to IOSCO CCP Default Auctions Best Practices Consultation
This paper, developed by CCP12, EACH, FIA, FIA PTG, ISDA and MFA, and submitted to IOSCO, addresses client participation in CCP default auctions. The paper builds on the Principles for Financial Market Infrastructures (April 2012) (“PFMIs”) and joint CPMI-IOSCO work on CCP resilience and recovery, with the aim of enhancing auction practices and procedures.
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FIA PTG responds to SEC Proposal to Require FINRA Membership
In a letter filed with the Securities and Exchange Commission (SEC) , the FIA Principal Traders Group opposed a Proposal that would generally require Association (FINRA) membership for any registered proprietary broker-dealer that effects securities transactions elsewhere than on a national securities exchange of which it is a member.
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FIA PTG Responds to US Treasury Request for Information on Transparency
In a letter filed with the US Department of the Treasury today, the FIA Principal Traders Group (FIA PTG) supported the implementation of real-time public reporting (with appropriate block trade thresholds) for all secondary market cash transactions.
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FIA PTG responds to The Brazilian Securities and Exchange Commission Block Trade Definition Proposal
In a letter filed today, the FIA Principal Traders Group (FIA PTG) responded to The Brazilian Securities and Exchange Commission (CVM) Resolution No. 135/2022 - Methodology for Definition of Block Trades.
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FIA PTG responds to FINRA Proposal to enhance TRACE reporting for US Treasury Securities
FIA PTG supported the proposal to “generally require reporting to TRACE as soon as practicable but no later than 60 minutes;” while urging FINRA to continue monitoring and consider shortening the reporting timeframe even further in the future.
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FIA PTG responds to SEC Dealer Definition Proposal
In a letter filed with the Securities and Exchange Commission (SEC) today, the FIA Principal Traders Group strongly opposed the SEC's Further Definition of “As a Part of a Regular Business” in the Definition of Dealer and Government Securities Dealer proposal and urged the SEC not to move forward with finalizing it.
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FIA PTG responds to CFTC Request for Comment on FTX Request
In a letter filed today, the FIA Principal Traders Group (FIA PTG) responded to the Commodity Futures Trading Commission's (CFTC) Request for Comment on the FTX Request for Amended DCO Registration Order.
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FIA PTG responds to SEC short sale marking proposal
In a letter filed today with the Securities and Exchange Commission (SEC), the FIA Principal Traders Group (FIA PTG) raised concerns with the proposed short sale marking rulemaking.
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FIA PTG responds to SEC proposed expansion of Reg ATS to Government Securities ATSs
In a letter filed today with the Securities and Exchange Commission (SEC), the FIA Principal Traders Group (FIA PTG) again supported the SEC's efforts to increase transparency, access and the resiliency of the Government Securities marketplace by eliminating the exemption of Government Securities alternative trading systems (ATSs) from compliance with Regulation ATS.
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