Front Office Committee

The FIF Front Office Committee will meet on Tuesday May 24, 2022 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.

POSTED May 23,2022

Spotlight Presentation on T+1 Settlement

On Tuesday May 24, 2022 at 2 pm ET, attorneys from the Willkie Farr law firm will review the SEC’s T+1 rule proposal and discuss material issues raised by certain market participants in their comment letters on the rule proposal. FIF has invited the members of the FIF Back Office Committee and the Compliance Working Group to the call. If you would like to participate on this call and are not a member of the Back Office Committee or the Compliance Working Group, please contact fifinfo@fif.com.

POSTED May 23,2022

Rule 606 Working Group

FIF has scheduled the next call for the FIF Rule 606 Working Group for Tuesday May 24, 2022 at 3 pm. The agenda for the call will be to discuss recent guidance from FINRA to two industry members requiring additional detail in the Rule 606(a) material disclosures.

POSTED May 23,2022

Data & Technology Committee

The FIF Data & Technology Committee will meet on Wednesday May 25, 2022 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets. The spotlight presenter for the meeting will be James Arrante of Cboe, who will provide an update on FX trading.

POSTED May 23,2022

SEC Rule 15c2-11 for Fixed Income

On Thursday May 26, 2022 at 11 am ET, FIF will host a call focused on implementation challenges firms are facing as a result of the SEC’s application of Rule 15c2-11 to fixed income securities. To lead off the discussion, Jason Palsgrove of Bloomberg will discuss the Bloomberg Fixed Income Quotation Transparency Product Related to SEC Rule 15c2-11. The Working Group also will discuss how firms are defining what constitutes publishing of a fixed income quote. FIF has invited the members of the FIF TRACE/Fixed Income and Compliance Working Groups to the call. If you would like to participate on this call and are not a member of either Working Group, please contact fifinfo@fif.com.

POSTED May 23,2022

© 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