New FIF Member: StoneX
FIF is pleased to announce that StoneX has joined the FIF Community.
Upcoming Spotlight Presentations (6/21)
21 June 2021
Front Office Committee. On June 22, Chris Bok of OTC Markets will discuss the upcoming implementation of the amendments to SEC Rule 15c2-11 (“Publication or submission of quotations without specified information”), includi…
FINRA Regulatory Notice on Short Interest and Short Sale Reporting
21 June 2021
On July 1 at 11 am (ET), Mark Fitterman and Gavin Meyers of the Baker McKenzie law firm will present on FINRA Regulatory Notice 21-19 relating to “Short Interest Position Reporting Enhancements and Other Changes Related to S…
FIF Webinar: SEC Market Access Rule
21 June 2021
Please join us for our next FIF webinar which is the “SEC Market Access Rule” that will take place on July 8th at 4pm ET. This webinar will focus on the rule's practical aspects, setting credit limits, the handling of…
Rule 606 Working Group (6/21)
21 June 2021
The next meeting of the FIF Rule 606 Working Group will be held on June 22 at 3 pm (ET). The Working Group will review a draft letter from FIF to the SEC requesting that the SEC issue updated FAQs on various topics, includin…
Rule 605 Working Group (6/21)
21 June 2021
The next meeting of the FIF Rule 605 Working Group will be held on June 24 at 2 pm (ET). The Working Group will discuss a request from the SEC to provide feedback on a Rule 605-like execution quality report for options that…
CAT Tech Spec Working Group
21 June 2021
FIF has submitted a request to extend the Phase 2d requirement to report tidType in allocation events. FIF will soon be submitting a similar extension request for the reporting of route modification and cancel rejections.
Upcoming Spotlight Presentations 6/14
14 June 2021
Back Office Committee. On June 15, Bill Kapogiannis and Diana Confessori-Simmons of DTCC will discuss the DTCC data warehousing initiative.
Front Office Committee. On June 22, Chris Bok of OTC Markets will discuss the upc…
Upcoming Webinars and Presentations
14 June 2021
Short Interest Reporting. Mark Fitterman and Gavin Meyers of the Baker McKenzie Law Firm will present on FINRA Regulatory Notice 21-19 relating to “Short Interest Position Reporting Enhancements and Other Changes Related t…
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