Back Office Committee
The Back Office Committee will have its next call on Thursday November 17 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
Rule 606 Working Group
14 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…
Data & Technology Committee
14 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
14 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…
Trade Surveillance Panel Discussion
14 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…
2022 Annual FIF Chicago Financial Markets Event
07 November 2022
FIF would like to thank Cboe for hosting the Annual FIF Chicago Financial Markets Event on November 3. The event focused on regulatory, technology and market data developments for options. FIF would like to thank the keynote…
CAT Monthly Update Working Group Call
07 November 2022
The FIF CAT Monthly Update Working Group call for November will be on Thursday November 10 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT transaction report…
Fractional Share Orders
07 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…
2022 Annual FIF Chicago Financial Markets Event
31 October 2022
FIF is sponsoring an event at Cboe in Chicago on Thursday November 3 at 4 pm (CT). The event is free for FIF members and will cover regulatory, technology and market data developments for options. Catherine Clay, Cboe’s Glob…
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