Front Office Committee
The Front Office Committee will have its next call on Tuesday December 13 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.
TRACE/Fixed Income Working Group
05 December 2022
The next call for the TRACE/Fixed Income Working Group will be on Tuesday December 13 at 3 pm ET. The Working Group will discuss FINRA Regulatory Notice 22-26 (“Trade Reporting and Compliance Engine (TRACE): FINRA Requests C…
Back Office Committee
05 December 2022
The Back Office Committee will have its next call on Thursday December 15 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
Data & Technology Committee
28 November 2022
The Data and Technology Committee will have its next call on Wednesday November 30 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets. Th…
CAT Monthly Update Working Group Call
28 November 2022
The FIF CAT Monthly Update Working Group call for December will be on this Thursday December 1 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT transaction re…
Rule 606 Working Group
28 November 2022
FIF has scheduled two calls for the Rule 606 Working Group. The first call is scheduled for Monday December 5 at 1 pm ET and will focus on the rule filing submitted by FINRA to the SEC on Disclosure of Order Routing Informat…
Fractional Share Orders
28 November 2022
On Tuesday December 6 at 2 pm ET, FIF will host a joint call for the Compliance and Surveillance Working Group and the Back Office and Front Office Committees focused on fractional share orders. Topics of discussion will inc…
Postponement of Call on Electronic Recordkeeping Rule
28 November 2022
FIF has postponed the scheduled call on the SEC’s electronic recordkeeping rule. We will provide an update when the call is rescheduled.
Trade Surveillance Panel Discussion
28 November 2022
FIF has scheduled a panel discussion on trade surveillance for the FIF Compliance and Surveillance Working Group and the FIF Front Office Committee for Thursday December 8 at 2 pm. The panelists will be Mark Davies of S3, Br…
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