FIF In-Person Event: Hosted by OTC Markets

On Monday May 6th, FIF will hold an event at the offices of OTC Markets (300 Vesey Street, New York, NY 10282). There will be two panels, our first panel of the evening will be “Current Regulatory Challenges for Digital Asset Securities”. On the panel will be Shawn Sloves of Fundamental Interactions, Tom Sullivan of Societe Generale and Dan Zinn of OTC Markets. The panel will be moderated by FIF Advisory Chair, Tom Jordan.  The second panel is “Current Implementation Challenges of SEC Rule 605, FINRA Rule 6151 (Rule 606 filings with FINRA), SEC Rule 13f-2 (short position reporting), CAT, and fractional shares on the TRF”. On the panel will be David Emero of n-Tier fs, Tom Hochleutner of Clear Street and Jacki VanMoer of Goldman Sachs. The panel will be moderated by FIF Managing Director, Howard Meyerson.  

Registration in the lobby begins at 4:15pm, the speaking engagement will be from 5-6:30 pm with refreshments and networking afterwards from 6:30-8pm. Please note the event capacity is 120, once capacity is reached we will form a waiting list for the event. FIF would like to thank OTC Markets for sponsoring this event. FIF Members can register for free here, if you have any questions you may contact the program office at

POSTED Apr 15,2024

CAT CAIS and CAT Transaction Reporting Working Groups

The next call for the CAT CAIS Working Group will be on Wednesday April 17 at 11 am ET. The next call for the CAT Transaction Reporting Working Group will be on Wednesday April 17 at 2 pm ET.

POSTED Apr 15,2024

FINRA Trade Reporting Notice on Fractional Share Transactions

FIF has scheduled a call for Thursday April 18 at 2 pm ET to continue the discussion of the Trade Reporting Notice on fractional share transactions published by FINRA on March 22, including feedback from FINRA. FIF has invited the members of the Data and Technology Committee and the TRF/ORF Working Group to participate on this call. If you would like to participate on this call and are not a member of this Committee or Working Group, please update your FIF profile or contact

POSTED Apr 15,2024

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