Review of Current SEC and FINRA Rulemaking Initiatives

On January 11, FIF hosted a call to review a digest of rules recently adopted or proposed by the SEC and FINRA. FIF has scheduled a call for Thursday February 1 at 3 pm ET to continue this review. The January 11 call focused on rulemaking relating to Technology, Operations and Finance; and Equities. The February 1 call will focus on rulemaking in the following areas, time permitting: Options; Fixed Income; Security-Based Swaps; Multiple Asset Classes; and Compliance and Proceedings. FIF has invited the members of the Compliance and Surveillance Working Group and the SEC FINRA Regulations Working Group to participate on this call. If you would like to participate on this call and are not a member of either Working Group, please update your FIF profile or contact fifinfo@fif.com.

© 2024 Financial Information Forum

Press enter to search
Press enter to search

Interested in joining us?

Download membership kit

Key Reasons to Join

  1. Stay informed on Current Regulatory and Market Initiatives
  2. Drive Industry Issues to Successful Resolution
  3. Impact the implementation timing and methodology of new rules
  4. Apply FIF Insight Within Your Firm