Review of Current SEC and FINRA Regulatory Initiatives
FIF has scheduled a call for Thursday January 11 at 3 pm ET to review a digest of rules recently adopted or proposed by the SEC and FINRA. The rules are organized based on the following seven categories: Technology, Operations and Finance; Equities; Options; Fixed Income; Security-Based Swaps; Multiple Asset Classes; and Compliance and Proceedings. The January 11 call will focus on the first two categories. FIF has invited the members of the Compliance and Surveillance Working Group and the SEC FINRA Regulations Working Group to participate on this call. If you would like to participate on this call and are not a member of either Working Group, please update your FIF profile or contact