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FIF to Host Webinars on Best Execution Across Asset Classes

20 September 2021
FIF will be hosting two webinars on best execution across asset classes. The first webinar, on Monday, September 27 from 4-5 pm ET, will focus on best execution for equities and options. The second webinar, on Tuesday, Septe…
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Spotlight Presentation on Recent SEC Fines Relating to PII

20 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…
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New FIF Compliance Working Group

20 September 2021
FIF is creating a new Compliance Working Group. To sign up for this new working group, update your profile here.
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SEC Rule 15c2-11 Amendments (Rule Governing Quotations for OTC Securities)

20 September 2021
The upcoming amendments to SEC Rule 15c2-11 provide an exception from the issuer information requirements that allows for the display of an unsolicited customer order where the customer is not an insider or affiliate of the…
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Upcoming Spotlight Presentation

20 September 2021
Data and Technology Committee: On Wednesday, September 29 at 10am ET, the FIF Data and Technology Committee will be treated to a spotlight presentation from Cboe's Angelo Evangelou who will discuss a new paper from Cboe…
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Rule 605 for Options

20 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…
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Short Interest Reporting

20 September 2021
On September 23, 2021 at 11am ET, the FIF Short Sales/Reg SHO/Short Interest Reporting Working Group will discuss any final changes to the draft FIF comment letter on FINRA Regulatory Notice 21-19, "FINRA Requests Comment on…
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FIF to Host Webinars on Best Execution Across Asset Classes

13 September 2021
FIF will be hosting two webinars on best execution across asset classes. The first webinar, on Monday, September 27, 2021 from 4-5pm ET, will focus on best execution for equities and options. The second webinar, on Tuesday…
View more

SEC Rule 15c2-11 Amendments (Rule Governing Quotations for OTC Securities)

13 September 2021
The upcoming amendments to SEC Rule 15c2-11 provide an exception from the issuer information requirements that allows for the display of an unsolicited customer order where the customer is not an insider or affiliate of the…
View more

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