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Tax Information Reporting Working Group

18 September 2023
The next call for the FIF Tax Information Reporting Working Group will be on Thursday September 28 at 3 pm ET. The spotlight presenter will be Neil Bromberg of EY, who will discuss Automation and AI in Tax Operations. FIF ha…
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FIF Submits Letters on CAT Reporting for Non-Executable RFQ Responses

11 September 2023
On September 6, FIF submitted letters to (i) the CAT Plan Participants and FINRA CAT, and (ii) the SEC on CAT reporting for non-executable RFQ responses. FIF would like to thank the members of the FIF CAT Transaction Re…
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FIF Submits Letter to FINRA on OTC Routing Reports

11 September 2023
On September 7, FIF submitted a letter to FINRA on the recent FINRA rule change that will require firms to publish reports on routing practices for OTC equities. FIF would like to thank the members of the FIF Rule 606 W…
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FIF Chicago Event

11 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 3pm CT, the speaking engagement will be from 4-5:30pm CT with refreshments and netwo…
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Recent SEC Actions: Rule Change to Require Proprietary Trading Firms to Register with FINRA; SEC Approval of IntelligentCross ATS as a New Entrant to the ADF and Subsequent Stay; SEC Order Directing SROs to Submit a New Consolidated Equity Market Data Gov

11 September 2023
FIF has scheduled a call for Tuesday September 12 at 2 pm ET to review (i) a rule change adopted by the SEC on August 23 that will require certain proprietary trading firms that are currently exempt from FINRA membership to…
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Emerging Technologies Working Group

11 September 2023
The next call for the FIF Emerging Technologies Working Group will be on Thursday September 14 at 11 am ET. The spotlight presenter will be Vinu Viswasadhas of Kyndryl, who will discuss Mainframe Data Modernization. If you w…
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Cybersecurity Working Group

11 September 2023
The next call for the FIF Cybersecurity Working Group will be on Thursday September 21 at 3 pm ET. The spotlight presenter will be Matt Weinberg of the Cybersecurity and Infrastructure Agenda (CISA), who will discuss Current…
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Tax Information Reporting Working Group

11 September 2023
The next call for the FIF Tax Information Reporting Working Group will be on Thursday September 28 at 3 pm ET. The spotlight presenter will be Neil Bromberg of EY, who will discuss Automation and AI in Tax Operations. FIF ha…
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SEC Open Meeting on Executed Share Model for CAT Funding

05 September 2023
On Wednesday September 6 at 10 am ET, the SEC will host an open meeting on the Executed Share Model for CAT funding. You can access the open meeting from the home page of the SEC website, www.sec.gov, on Wednesday at 10 am E…
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