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SEC issues Final Rule on the Disclosure of Order Handling Information

05 November 2018
On Friday, November 2nd, the SEC issued a final rule require additional disclosures by broker-dealers to customers regarding the handling of their orders.  Specfically, the Commission is adding a new disclosure requirem…
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FIF forms CAT Tech Spec Requirements Working Group

05 November 2018
Following the publication of the CAT Industry Member Technical Specification on October 30th, FIF has formed a CAT Tech Spec Requirements Working Group to 1) review and suggest additional business scenarios/FAQs to the SROs;…
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FIF met with SEC Staff to discuss 605 Modernization Recommendations

05 November 2018
On Tuesday, October 30th, a contingent of FIF members representing retail broker-dealers, whole market makers, and an analytics provider along with FIF staff met with the SEC Division or Trading and Markets and Staff to Chai…
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Annual FIF Chicago Financial Markets Event

22 October 2018
FIF would like to thank Cboe Global Markets for hosting the Annual FIF Chicago Financial Markets Event on current market transparency trends last week. The panel discussion was interesting and engaging, prompting the at…
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FIF Participates in Annual Industry-Wide BCP/Reg SCI Testing

15 October 2018
On Saturday, October 13th, FIF participated in the annual industry-wide BCP/Reg SCI Testing, focusing on Market Data provider connectivity.  If your firm participated in the industry-wide test on Saturday and have any q…
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Call for Participation - CAT Subgroups

15 October 2018
FIF has formed three new CAT-focused subgroups on 1) Options; 2) FDID; and 3) Industry Testing.  If you would like to join any or all of the above subgroups, please send an email to This email address is being protected…
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2018 Annual FIF Chicago Financial Markets Event

08 October 2018
FIF will be holding our Annual Chicago Financial Markets Event on Tuesday October 16, 2018 at Cboe Global Markets (400 South LaSalle Street, Chicago). Join us for a luncheon and a panel discussion on current market transpare…
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Annual FIF Chicago Financial Markets Event

01 October 2018
FIF will be holding our Annual Chicago Financial Markets Event on Tuesday October 16, 2018 at Cboe Global Markets (400 South LaSalle Street, Chicago). Join us for a luncheon and a panel discussion on current market transpare…
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FIF to Attend STA Conference

01 October 2018
FIF will send representatives down to Washington DC this week to attend the Annual STA Conference. This year's event will feature speakers such as Tim Hockey from TD Ameritrade, Robert Cook from FINRA and Brett Redfearn from…
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