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.
CONTINUE READINGThe FIA Principal Traders Group welcomes the opportunity to participate in the Modernization Review and commended FINRA for undertaking this worthwhile initiative.
CONTINUE READINGFIA has responded to SEBI’s Consultation Paper on the Final Settlement Day for Equity Derivatives. FIA acknowledges and supports SEBI’s stated objectives of enhancing market stability, improving predictability, and promoting orderly market functioning through a more structured approach to contract expiries.
CONTINUE READINGIn 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.
CONTINUE READINGIn a letter filed with the Securities and Exchange Commission (SEC), the FIA Principal Traders Group (FIA PTG) urged the SEC to take the following actions to ensure equalization of the entire Nasdaq collocation campus (NY11 and NY11-4) is completed expeditiously.
CONTINUE READINGIn a letter filed with the Securities and Exchange Commission (SEC), the FIA Principal Traders Group (FIA PTG) commented again on the application of 24X National Exchange LLC for registration as a national securities exchange.
CONTINUE READINGIn a letter filed with the Securities and Exchange Commission (SEC), the FIA Principal Traders Group (FIA PTG) responded to the Option Clearing Corporation (OCC) Proposal to establish a margin add-on charge to help mitigate the risks of zero-days-to-expiration (0TED) options.
CONTINUE READINGIn a letter filed with the Securities and Exchange Commission (SEC) today, the FIA Principal Traders Group (FIA PTG) responded to the SEC’s institution of proceedings in connection with 24X National Exchange’s (24X) application for registration as a national securities exchange.
CONTINUE READINGIn a letter filed with the Securities and Exchange Commission (SEC), the FIA Principal Traders Group (FIA PTG) urged the SEC to disapprove Nasdaq’s proposed rule changes to Expand the Cabinet Proximity Option Program and to Establish a Reservation Fee. FIA PTG raised three principal concerns with respect to the Proposed Rule Changes all in connection with Nasdaq’s existing data center facilities in Carteret, NJ (NY11) and Nasdaq’s new facility under construction just to the north of NY11 (NY11-4).
CONTINUE READINGIn a letter filed with the Securities and Exchange Commission (SEC) today, the FIA Principal Traders Group (FIA PTG) urged the SEC to disapprove the self-regulatory organizations’ (“SRO”) proposed rule changes to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail (the “CAT Fee Filings”) incurred by the SROs prior to January 1, 2022.
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