Rule 606 Working Group
The Rule 606 Working Group will meet on Tuesday, November 23 to continue its discussion of a draft comment letter on FINRA Regulatory Notice 21-35, “FINRA Requests Comment on Proposed Order Routing Disclosure Requirements fo…
FIF Front Office Committee
15 November 2021
The FIF Front Office Committee will meet on Tuesday, November 16 at 11am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.
FIF Member Survey on Linking Rep Orders to Customer Orders
15 November 2021
On December 16, 2020, the Securities and Exchange Commission granted temporary exemptive relief, until July 31, 2023, from the CAT NMS Plan requirement to link representative orders (riskless principal/ customer facilitation…
Part 7 of FIF Market Data Webinar Series
08 November 2021
Join us Thursday, November 11 at 4:15pm ET for part seven of our webinar series on the implementation considerations of the SEC Market Data Infrastructure Rule. Tom Jordan, FIF Advisory Chair, and Manisha Kimmel, Chief Polic…
FIF Webinar on Trading Digital Assets: Connectivity, Custody and Compliance
08 November 2021
On Wednesday, November 17 at 4pm ET FIF will host a webinar on Trading Digital Assets. This webinar will provide practical guidance to retail and institutional brokers and market makers on trading digital assets, including c…
FIF Member Survey on Linking Rep Orders to Customer Orders
08 November 2021
On December 16, 2020, the Securities and Exchange Commission granted temporary exemptive relief, until July 31, 2023, from the CAT NMS Plan requirement to link representative orders (riskless principal/ customer facilitation…
New FOCUS Supplemental Liquidity Schedule from FINRA
08 November 2021
An FIF member has questions relating to the Supplemental Liquidity Schedule (SLS) recently adopted by FINRA (see FINRA Regulatory Notice 21-31) and would like to discuss these questions with other FIF members. The SLS takes…
Rule 606 Working Group
08 November 2021
The Rule 606 Working Group will meet on Thursday, November 11 at 11am ET to continue its discussion of a draft comment letter on FINRA Regulatory Notice 21-35, “FINRA Requests Comment on Proposed Order Routing Disclosure Req…
Back Office Committee
08 November 2021
The FIF Back Office Committee will meet on Tuesday, November 9 at 11am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
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