TRACE Working Group
FIF has scheduled the next call for the TRACE Working Group for Tuesday October 10 at 2:30 pm ET. The Working Group will discuss (i) a draft letter to FINRA requesting confirmation that the TRACE ATS exemption does not impac…
Next Bridge Form S-1 Filing
09 October 2023
FIF has scheduled a call with the SEC staff for Tuesday October 10 at 4 pm ET to discuss the Form S-1 registration statement filed by Next Bridge Hydrocarbons to distribute subscription rights only to holders who register th…
FIF Chicago Event
02 October 2023
FIF is excited to announce our annual Chicago event, sponsored by Cboe Global Markets. After opening remarks from Catherine Clay, there will be two panels, one focusing on compliance, surveillance and regulation, and the oth…
Revised Schedule for FIF CAT Calls for this Week
02 October 2023
FIF will host two calls this week for the CAT Transaction Reporting Working Group. The first call will be on Tuesday October 3 at 2 pm ET and will review responses received from FINRA CAT on reporting for non-immediately act…
CAT Monthly Update Working Group Call
02 October 2023
The FIF CAT Monthly Update Working Group call for October will be on Thursday October 5 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting…
Reg ATS and Reg SCI Market Share Threshold Calculations
02 October 2023
An FIF member would like to discuss with other members how a firm should calculate its market share for determining whether it has exceeded specific market share thresholds set forth in the SEC’s Reg ATS and Reg SCI. If you…
Electronic Recordkeeping Requirements
02 October 2023
An FIF member would like to discuss with other members specific questions relating to the updates to the electronic recordkeeping requirements adopted by the SEC last year. If you would like to participate in this discussion…
FIF Chicago Event
25 September 2023
Our Annual Chicago Event hosted by Cboe Global Markets will be taking place on Monday October 30. Registration in the lobby begins at 3 pm CT. The speaking engagement will be from 4-5:30 pm CT with refreshments and networkin…
Revised Schedule for FIF CAT Calls for this Week
25 September 2023
FIF will host two calls this week for the CAT Transaction Reporting Working Group. The first call will be on Tuesday September 26 at 2 pm ET. During this call, FIF members will continue their discussion of the SEC’s Septembe…
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