On Monday May 6^th, FIF will hold an in-person event at the offices of OTC Markets (300 Vesey Street, New York, NY 10282). There will be two panels. Our first panel of the evening will be “Digital Assets - Regulations, Processing & Technology”. The panel will cover public & private securities from issuance to trading and settlement and custody. On the panel will be Shawn Sloves of Fundamental Interactions, Tom Sullivan of Société Générale and Dan Zinn of OTC Markets. The panel will be moderated by FIF Advisory Chair, Tom Jordan. The second panel is on “Current Regulatory Implementation Challenges” and will include a discussion of SEC Rule 605, FINRA Rule 6151 (Rule 606 filings with FINRA), SEC Rule 13f-2 (short position reporting), CAT, and fractional shares on the TRF. On the panel will be David Emero of n-Tier fs, Thomas Hochleutner of Clear Street, Alex Raisch of SMBC Nikko and Jacki VanMoer of Goldman Sachs. The panel will be moderated by FIF Managing Director, Howard Meyerson.   

Registration in the lobby begins at 4:15 pm. The speaking engagement will be from 5-6:30 pm with refreshments and networking afterwards from 6:30-8 pm. Please note the event capacity is 120; once capacity is reached, we will form a waiting list for the event. FIF would like to thank OTC Markets for sponsoring this event. FIF Members may register for free here. If you have any questions, you may contact the program office at fifinfo@fif.com.

FIF has scheduled the next call for the FIF Short Sales / Reg SHO / Short Interest Reporting Working Group for Monday April 22 at 11 am ET. The Working Group will continue its review and discussion of a draft FIF letter to the SEC requesting guidance on the implementation of SEC Rule 13f-2 on Short Position and Short Activity Reporting.  

The Front Office Committee will have its next call on Tuesday April 23 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.

FIF has scheduled the next call for the Rule 606 Working Group for Tuesday April 23 at 1 pm ET. The Working Group will discuss implementation of FINRA Rule 6151 (centralized reporting of Rule 606(a) reports to FINRA), including the Filing Guide published by FINRA, and issues and questions from FIF members relating to Rule 606.

FIF has scheduled the next call for the Rule 605 Working Group for Tuesday April 23 at 3 pm ET. The Working Group will continue its review and discussion of the changes to Rule 605 that the SEC adopted on March 6. The Working Group will also review and discuss a draft FIF letter to the SEC relating to implementation of the changes to Rule 605.