New FIF Member: SMBC Nikko
FIF is pleased to welcome SMBC Nikko Securities America to the FIF Community
Front Office Committee
22 May 2023
The Front Office Committee will have its next call on Tuesday May 23 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.
FIF Webinar on Fixed Income Trade Surveillance
22 May 2023
FIF has scheduled a webinar on Fixed Income Trade Surveillance for Tuesday May 23 at 2 pm. The moderator for the webinar will be Tom Jordan, Chair of the FIF Advisory Committee. The panelists will be Ted Karn of The Karn Gro…
Rule 606 Working Group
22 May 2023
The next call for the FIF Rule 606 Working Group is scheduled for Tuesday May 23 at 3 pm ET. The Working Group will continue its discussion of recent guidance from SEC staff to FIF members on Rule 606(a) reporting when a rep…
SEC Cyber, Reg SCI and Reg S-P Rule Proposals
22 May 2023
FIF has scheduled a call for Thursday May 25 at 2 pm ET to review and discuss a revised draft of the FIF comment letter on the SEC’s recent cybersecurity, Reg SCI and Reg S-P rule proposals.
FIF Call to Discuss NY Attorney General Proposed CRPTO Act; New FIF Crypto, Digital Assets and Blockchain Working Group
22 May 2023
FIF has scheduled a call for Thursday May 25 at 3 pm ET to review and discuss the CRPTO Act recently proposed by the New York State Attorney General. FIF has created a new Crypto, Digital Assets and Blockchain Working Group…
Rule 605 Working Group
22 May 2023
FIF has scheduled the next call for the Rule 605 Working Group for Tuesday May 30 at 3 pm ET. The Working Group will discuss the May 17 call between FIF members and SEC staff relating to the SEC’s rule proposal on Disclosure…
Data & Technology Committee
22 May 2023
The Data and Technology Committee will have its next call on Wednesday May 31 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 spo…
FIF Webinar on Fixed Income Trade Surveillance
15 May 2023
FIF has scheduled a webinar for Tuesday May 23 at 2 pm on Fixed Income Trade Surveillance. The moderator for the webinar will be Tom Jordan, Chair of the FIF Advisory Committee. The panelists will be Ted Karn of The Karn Gro…
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