New FIF Member: Robinhood Securities
FIF is pleased to welcome Robinhood Securities to the FIF Community
Rule 606 Working Group
21 November 2022
FIF has scheduled a call for the Rule 606 Working Group for Monday November 21 at 2 pm ET to discuss the recent Risk Alert published by the SEC’s Division of Examinations on Observations Related to Regulation NMS Rule 606 Di…
CAT Transaction Reporting and CAIS Calls Cancelled for this Week
21 November 2022
Due to the Thanksgiving holiday, FIF has cancelled the regularly-scheduled CAT Transaction Reporting and CAT CAIS calls for this week. These Working Group calls will resume during the week of November 28.
Data & Technology Committee
21 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…
Electronic Recordkeeping Rule
21 November 2022
On Thursday December 1 at 11 am ET, Ignacio Sandoval and Kyle Whitehead of the Morgan Lewis law firm will review the SEC’s recently-adopted rule on Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swa…
CAT Monthly Update Working Group Call
21 November 2022
The FIF CAT Monthly Update Working Group call for December will be on 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 reporti…
Trade Surveillance Panel Discussion
21 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 ET. The panelists will be Mark Davies of S3…
Fractional Share Orders
14 November 2022
On Monday November 14 at 2 pm ET FIF will host a joint call for the Compliance and Surveillance Working Group and the Back Office Committee focused on fractional share orders. Topics of discussion will include: fractional sh…
Front Office Committee
14 November 2022
The Front Office Committee will have its next call on Tuesday November 15 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.
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