Spotlight Presentations (11/30)

FIF will feature the following spotlight presentations on upcoming Committee and Working Group calls:

  • FIF Spotlight on FPL Programs (Thursday December 3 at 1 pm ET). FIF has scheduled a call for the Back Office Committee to focus on the recent SEC no-action letter relating to FPL programs (programs in which broker-dealers borrow fully paid and excess margin securities from their customers). Nihal Patel from the Cadwalader law firm will provide background on the rule proposal.

To participate in these spotlight presentations, you must be a participant of the relevant Committee or Working Group. To sign-up for a Committee or Working Group, please log on to your FIF account (fif.com), click Profile in the top right-hand corner and check-off any new Distribution List that you want to join. Please send a note to fifinfo@fif.com with any questions.

POSTED Nov 30,2020

Upcoming FIF Webinars (11/30)

FIF will be hosting two webinars during December:

  • On Tuesday December 8th at 2 pm ET, Julian Rainero and Bill Barbera of the Schulte Roth & Zabel law firm will present on the recent SEC Government Securities ATS rule proposal with James Dolan of Luminex as moderator. The rule proposal also impacts existing ATSs.
  • On Monday December 14th at 4 pm ET, FIF will host a year-end CAT Webinar sponsored by Refinitiv. Will Leahey of Refinitiv will be the moderator for the panel. The panelists will include Shelly Bohlin of FINRA CAT, Christopher Bok of OTC Markets, Doug Craig of ION Group, Jeremy Kahn of Jane Street, and Jacki VanMoer of Goldman Sachs. Registration details will be distributed later today. 

POSTED Nov 30,2020

Spotlight Presentations (11/23)

FIF will feature the following spotlight presentations on upcoming Committee and Working Group calls:

  • FIF Front Office Committee (Monday November 30 at 11 am ET). Chris Bok of OTC Markets will discuss FINRA’s proposal to retire the OTCBB and enhance oversight of OTC equity markets.
  • FIF Spotlight on FPL Programs (Thursday December 3 at 1 pm ET). FIF will schedule a call for the Back Office Committee to focus on the recent SEC no-action letter relating to FPL programs (programs in which broker-dealers borrow fully paid and excess margin securities from their customers). Nihal Patel from the Cadwalader law firm will provide background on the rule proposal.

To participate in these spotlight presentations, you must be a participant of the relevant Committee or Working Group. To sign-up for a Committee or Working Group, please log on to your FIF account (fif.com), click Profile in the top right-hand corner and check-off any new Distribution List that you want to join. Please send a note to fifinfo@fif.com with any questions.

POSTED Nov 23,2020

Upcoming FIF Webinars

FIF will be hosting two webinars during December:

  • On Tuesday December 8th at 2 pm, Julian Rainero and Bill Barbera of the Schulte Roth law firm will host a webinar on the recent SEC Government Securities ATS rule proposal with James Dolan of Luminex as moderator.
  • On Monday December 14th at 4 pm, FIF will host an end-of-the-year CAT webinar sponsored by Refinitiv. We will be sending out additional details in the coming days.

POSTED Nov 23,2020

Spotlight Presentations (11/16)

During the past week, FIF featured the following spotlight presentation:

  • FIF Back Office Committee (November 10). Greg Lee of Paxos discussed Paxos’ clearing agency plan leveraging blockchain for back-office.

FIF will feature the following spotlight presentations on upcoming Committee and Working Group calls:

  • FIF Emerging Technologies Working Group (November 19 at 11 am ET). Evan Schnidman of Prattle will discuss AI efficiency in research.
  • FIF Front Office Committee (November 30 at 11am ET). Chris Bok of OTC Markets will discuss FINRA’s proposal to retire the OTCBB and enhance oversight of OTC equity markets.

The first half-hour of each call will be dedicated to the spotlight topic. The second half-hour will be focused on the regular Committee or Working Group agenda.

To participate in these spotlight presentations, you must be a participant of the relevant Committee or Working Group. To sign-up for a Committee or Working Group, please log on to your FIF account (fif.com), click Profile in the top right-hand corner and check-off any new Distribution List that you want to join. Please send a note to fifinfo@fif.com with any questions.

POSTED Nov 16,2020

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