Rule 606 Working Group
The next meeting of the FIF Rule 606 Working Group will be held on May 4 at 2 pm (ET). The Working Group will update on a recent discussion with the SEC staff relating to the Rule 606 de minimis exceptions and discuss issues…
SPAC Webinar
03 May 2021
Jordan & Jordan in partnership with FIF and RIXML held a SPAC webinar on 4/28 to discuss the growth of SPACs, structure/process, and much more. The panel for the webinar included Kristi Marvin of SPACInsider, Dougla…
Register for SPAC Webinar
26 April 2021
Join Jordan & Jordan in partnership with FIF and RIXML for a SPAC webinar to discuss the growth of SPACs, structure/process, and much more. The webinar will take place on 4/28 at 1pm est. The panel for the webinar will i…
FIF Reg SHO Working Group
26 April 2021
The next meeting of the FIF Reg SHO Working Group will be held on April 29 at 10 am (ET). The Working Group will discuss specific Reg SHO issues and questions raised by FIF members relating to order marking, locate and close…
SEC Rule 606 Working Group
26 April 2021
The next meeting of the FIF Rule 606 Working Group will be held on May 4 at 2 pm (ET). The Working Group meeting will update members on a recent discussion with the SEC staff relating to the Rule 606 de minimis exceptions an…
Upcoming Spotlight Presentations (4/26)
26 April 2021
Front Office Committee. On April 27, Ari Burstein of Capital Market Strategies will discuss the CAT Operating Committee’s revised funding proposal.
Tax Information Reporting Working Group. On April 29, Stevie Conlon and c…
Calendar for Upcoming CAT Committee and Working Groups Calls
26 April 2021
FIF currently has three separate active CAT groups: CAT Committee; CAT Tech Specs Working Group; and CAT CAIS Working Group. Going forward, the CAT Committee, which is focused on high-level CAT developments, will meet the 1s…
FIF Webinar Series on New SEC Market Data Infrastructure Rules (Part 5)
19 April 2021
On Monday, April 12th, the fifth FIF webinar of the series focused on the rule's effects on Retail, Institutional and the Buy-Side. The panel included Adam Inzirillo of Cboe Global Markets, Melissa Hinmon of Glenmede Investm…
Presentation to Back Office Committee on Recent FINRA Margin Rule Regulatory Notices
19 April 2021
On April 15, 2021, Steve Lofchie and Nihal Patel of the Cadwalader law firm presented to the FIF Back Office Committee on the recent FINRA Regulatory Notice 21-11 (proposed amendments to the margin rules relating to when-iss…
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