News

FINRA Presentation to FIF Members on 2023 Cyber Priorities

10 April 2023

On Thursday April 13 at 11 am ET, Greg Markovich, Senior Director in the FINRA Cyber Enabled Fraud (CEF) Group, will discuss FINRA’s 2023 cyber-related priorities. FIF has invited members of the FIF Cybersecurity Working Gro…

CAT Monthly Update Working Group Call

10 April 2023

The FIF CAT Monthly Update Working Group call for April will be on Thursday April 13 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting an…

FIF Submits Comment Letters on Three SEC Equity Market Rule Proposals

03 April 2023

On March 31 FIF submitted comment letters on the following three SEC equity market rule proposals: Disclosure of Order Execution Information Order Competition Rule Regulation NMS: Minimum Pricing Increments, Access Fees…

FIF Submits Response Letter to SEC on FINRA Rule Proposal

03 April 2023

On March 30, FIF submitted a response letter to the SEC on the FINRA rule proposal on disclosure of order routing information for OTC equity securities and NMS securities.

CAT Transaction Reporting Working Group: Additional Call this Week Focused on RFQ Responses

03 April 2023

FIF has scheduled an additional call this week for the FIF CAT Transaction Reporting Working Group. The call will be on Tuesday April 4 at ____ ET and will focus on CAT reporting for RFQ responses.

Rule 606 Working Group

03 April 2023

FIF has scheduled the next call for the Rule 606 Working Group for Tuesday April 4 at 3 pm ET. The Working Group will discuss the expected response by FINRA to the SEC order seeking further comment on the FINRA rule proposal…

CAT Transaction Reporting Working Group: Presentation by CAT Plan Participants

03 April 2023

For the CAT Transaction Reporting Working Group call for this week (on Wednesday April 5 at 2 pm ET), the CAT Plan Participants will present to the Working Group on the potential cost savings for turning off linkage in the C…

CAT and CAIS Scheduling Updates

03 April 2023

For this week only, the Wednesday FIF CAIS Working Group call be at 10 am ET instead of 11 am ET. This is to avoid a time conflict with the StoneX webinar discussed below. Going forward, FIF will continue to send weekly i…

StoneX Webinar on Ending of SEC "No-Action" Relief for MiFID II Clients

03 April 2023

The SEC “No-Action” relief permitting U.S. brokers to accept cash research payments from MiFID-regulated clients is set to expire on July 3, 2023, leaving many global managers and brokers unsure of the right course of action…

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