News

FIF Submits Comment Letter to the SEC on the SEC’s Cybersecurity Rule Proposal, Proposed Amendments to Reg SCI, and Proposed Amendments to Reg S-P

12 June 2023

On June 5, FIF submitted a comment letter to the SEC on the SEC’s cybersecurity rule proposal, the SEC’s proposed amendments to Regulation SCI, and the SEC’s proposed amendments to Regulation S-P. FIF would like to than…

Amended Rule Proposal for Notification of Cybersecurity Incidents Filed by The Options Clearing Corporation with the SEC

12 June 2023

FIF has scheduled a call for Monday June 12 at 2 pm ET to discuss the amended rule proposal for notification of cybersecurity incidents filed by The Options Clearing Corporation (OCC) with the SEC. The amended rule proposal…

Emerging Technologies Working Group

12 June 2023

On Tuesday June 13 at 3 pm ET, Atulya Jyoti of Kyndryl will present to the Emerging Technologies Working Group on Mainframe Data Democratization in Capital Markets. Legacy mainframe applications and operations remain central…

Rule 605 Working Group

12 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…

New FIF Member: LPL Financial

05 June 2023

FIF is pleased to welcome LPL Financial to the FIF Community.

FIF In-Person Event: Hosted by OTC Markets

05 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…

SEC Cyber, Reg SCI and Reg S-P Rule Proposals

05 June 2023

FIF has scheduled a call for Monday June 5 at 11 am ET to review and discuss final changes to the FIF comment letter on the SEC’s recent cybersecurity, Reg SCI and Reg S-P rule proposals.

Rule 605 Working Group

05 June 2023

FIF has scheduled the next call for the Rule 605 Working Group for Tuesday June 6 at 3 pm ET. The Working Group will review and discuss a revised draft supplemental FIF comment letter on the SEC’s rule proposal on Disclosure…

Rule 606 Working Group

05 June 2023

The next call for the FIF Rule 606 Working Group is scheduled for Wednesday June 7 at 3 pm ET. The Working Group will review a revised draft supplemental FIF comment letter to the SEC on the FINRA rule proposal for order rou…

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