Rule 605 for Options
The SEC staff has advised FIF that the SEC is considering the expansion of Rule 605 to cover options. The SEC staff has requested input from FIF on this topic. The FIF Rule 605 Working Group is working on a set of recommenda…
Meeting with SEC Staff on Rule 606 Options Look-Through
04 October 2021
On September 30, 2021, members of the FIF Rule 606 Working Group met with the staff of the SEC’s Division of Trading and Markets to discuss the challenges with Rule 606 look-though for options. The next meeting of the FIF Ru…
New FIF Member: DASH Financial Technologies
27 September 2021
FIF is pleased to announce that DASH Financial Technologies has joined the FIF Community.
FIF to Host Webinars on Best Execution Across Asset Classes
27 September 2021
FIF will be hosting two webinars on best execution across asset classes. The first webinar, on Monday, September 27 from 4-5pm ET, will focus on best execution for equities and options. The second webinar, on Tuesday, Septem…
Spotlight Presentation on Recent SEC Fines Relating to PII
27 September 2021
On October 12, 2021, Peter Chan and Valerie Mirko of the Baker McKenzie law firm will discuss the recent SEC fines against firms for failure to protect personally identifiable information (PII) of customers. This will be a s…
New FIF Compliance Working Group
27 September 2021
FIF is creating a new Compliance Working Group. To sign up for this new working group, update your profile here.
Upcoming Data and Technology Committee Spotlight Presentation
27 September 2021
On Wednesday, September 29 at 10am ET, Cboe's Angelo Evangelou will discuss the recent paper by Cboe titled “Cboe Advocates for Targeted Equity Market Structure Reform”.
Rule 605 for Options
27 September 2021
The SEC staff have advised FIF that the SEC is considering the expansion of Rule 605 to cover options. The SEC staff have requested input from FIF on this topic. The FIF Rule 605 Working Group is working on a set of recommen…
FIF Meeting with SEC Commissioner Roisman on Rule 606 Options Look-Through
27 September 2021
On September 22, 2021, members of the FIF Rule 606 Working Group met with SEC Commissioner Roisman and his advisers to discuss the challenges with Rule 606 look-though for options. FIF will be meeting with the SEC Trading an…
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