Front Office Committee
The Front Office Committee will have its next call on Tuesday September 24 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.
Tax Information Reporting Working Group
23 September 2024
FIF has scheduled the next call for the Tax Information Reporting Working Group for Tuesday September 24 at 3 pm ET. Stevie Conlon and other representatives from Wolters Kluwer will discuss the new draft Form 1099-DA for dig…
CAT Transaction Reporting and CAT CAIS Working Group Calls for this Week
23 September 2024
FIF has scheduled the CAIS Working Group for this week for Wednesday September 25 at 11 am ET. FIF has scheduled the CAT Transaction Reporting Working Group call for this week for Wednesday September 25 at 2 pm ET.
FINRA Technology Certification
23 September 2024
An FIF member would like to discuss whether FINRA could develop a technology-focused examination for technology professionals who require the Operations Professional registration as an alternative to the current Series 99 ex…
TRACE and RTRS One Minute Reporting
23 September 2024
FIF has scheduled a call for the TRACE Working Group for Thursday September 26 at 3 pm ET. The Working Group will discuss the recent approvals by the SEC of the FINRA and MSRB rule filings that provide for one-minute reporti…
Reg NMS Amendments
23 September 2024
FIF has scheduled a call for Tuesday October 1 at 3 pm ET to review the Reg NMS amendments recently adopted by the SEC. FIF has invited the members of the Data and Technology and Front Office Committees and the SEC Equity Ma…
FIF Best Ex Webinar
23 September 2024
FIF has scheduled a webinar on best execution for Monday October 7 at 3 pm ET. The moderator will be Chris Montagnino of Jordan & Jordan. The panelists will be from BXS, S3, The Karn Group and Trading Technologies. FIF h…
Panelists Announced: FIF Chicago Event
16 September 2024
FIF is excited to announce our annual Chicago event, sponsored by Cboe Global Markets. After opening remarks from Kevin Carrai of Cboe Global Markets, there will be two panels, one focusing on options trading and market…
FIF Submits Comment Letter to the SEC on CAT Reporting of Verbal Activity
16 September 2024
On September 9, FIF submitted a comment letter to the SEC in support of the rule filing by the CAT Plan Participants to exclude certain verbal activity from CAT reporting. FIF would like to thank the members of the CAT Trans…
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