FIF In-Person Event: Hosted by OTC Markets

On Monday May 6^th, FIF will hold an in-person 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 “Digital Assets - Regulations, Processing & Technology”. The panel will cover public & private securities from issuance to trading and settlement and custody. On the panel will be Shawn Sloves of Fundamental Interactions, Tom Sullivan of Société Générale and Dan Zinn of OTC Markets. The panel will be moderated by FIF Advisory Chair, Tom Jordan. The second panel is on “Current Regulatory Implementation Challenges” and will include a discussion 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, Thomas Hochleutner of Clear Street, Alex Raisch of SMBC Nikko and Jacki VanMoer of Goldman Sachs. The panel will be moderated by FIF Managing Director, Howard Meyerson.   

Registration in the lobby begins at 4:15 pm. The speaking engagement will be from 5-6:30 pm with refreshments and networking afterwards from 6:30-8 pm. 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 may register for free here. If you have any questions, you may contact the program office at fifinfo@fif.com.