Spotlight Presentations (11/23)

FIF will feature the following spotlight presentations on upcoming Committee and Working Group calls:

• FIF Front Office Committee (Monday November 30 at 11 am ET). Chris Bok of OTC Markets will discuss FINRA’s proposal to retire the OTCBB and enhance oversight of OTC equity markets.
• FIF Spotlight on FPL Programs (Thursday December 3 at 1 pm ET). FIF will schedule a call for the Back Office Committee to focus on the recent SEC no-action letter relating to FPL programs (programs in which broker-dealers borrow fully paid and excess margin securities from their customers). Nihal Patel from the Cadwalader law firm will provide background on the rule proposal.

To participate in these spotlight presentations, you must be a participant of the relevant Committee or Working Group. To sign-up for a Committee or Working Group, please log on to your FIF account (fif.com), click Profile in the top right-hand corner and check-off any new Distribution List that you want to join. Please send a note to This email address is being protected from spambots. You need JavaScript enabled to view it. with any questions.