Section 31 Fees
An FIF member would like to discuss with other members requesting that FINRA provide additional transparency to assist industry members in reconciling Section 31 fees. The FIF member would also like to discuss potential chan…
Front Office Committee
26 June 2023
The Front Office Committee will have its next call on Tuesday June 27 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges. As the spotlight topic, represent…
Data and Technology Committee
26 June 2023
The Data and Technology Committee will have its next call on Wednesday June 28 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets. The sp…
Compliance and Surveillance Working Group
26 June 2023
FIF has scheduled a call for the Compliance and Surveillance Working Group for Tuesday July 11 at 2 pm ET to discuss expanded surveillance by FINRA based on CAT data. FINRA representatives have noted to FIF members that FINR…
FIF In-Person Event: Hosted by OTC Markets
20 June 2023
On Thursday June 29 at 5 pm, 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, with one focusing on the SEC rule proposal to amend the Rule 3b-16…
Rule 605 Working Group
20 June 2023
FIF has scheduled the next call for the Rule 605 Working Group for Tuesday June 20 at 2 pm ET. The Working Group will review and discuss a revised draft supplemental FIF comment letter on the SEC’s rule proposal on Disclosur…
Back Office Committee
20 June 2023
The Back Office Committee will have its next call on Thursday June 22 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
FIF Submits Letter to the SEC and the CAT Operating Committee on Retirement of Legacy Reporting Systems and Rules
20 June 2023
On June 15, FIF submitted a letter to the SEC and the CAT Operating Committee on the need for the retirement of legacy reporting systems and rules, including EBS and large trader reporting, that are duplicative of CAT.
FIF In-Person Event: Hosted by OTC Markets
12 June 2023
On Thursday June 29, 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, with one focusing on the SEC rule proposal to amend the Rule 3b-16 definit…
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