FIF will be hosting two webinars on best execution across asset classes. The first webinar, on Monday, September 27, 2021 from 4-5pm ET, will focus on best execution for equities and options. The second webinar, on Tuesday, September 28, 2021 from 4-5pm ET, will focus on best execution for fixed income and cryptocurrency. Participants on the first panel include Wayne Aaron of the Vedder Price law firm, Brent Arnold of TD Ameritrade, Nate Pomeroy of Wolverine, and Peter Weiler of Abel Noser. Participants on the second panel include Constantinos Antoniades, adviser to TP ICAP, Mark Davies of S3, Alan Konevsky of tZERO, Alex Sedgwick of Abel Noser, and Dave Weisberger of CoinRoutes.

The upcoming amendments to SEC Rule 15c2-11 provide an exception from the issuer information requirements that allows for the display of an unsolicited customer order where the customer is not an insider or affiliate of the issuer. FIF members that are retail brokers have identified challenges in complying with this exception. If you are interested in participating on a call on this topic with other FIF members, please send a note to fifinfo@fif.com.

On August 10, 2021, FIF sent a survey to FIF members on Rule 605 for options. This is an opportunity for FIF members to provide input to the SEC before the SEC issues a rule proposal in this area. FIF requests that members provide their survey responses by end-of-day today. All responses are anonymized. The FIF Rule 605 Working Group will meet on September 14, 2021 to review the FIF member responses.

On September 23, 2021 at 11am ET, the FIF Reg SHO/Short Interest Reporting Working Group will discuss any final changes to the draft FIF comment letter on FINRA Regulatory Notice 21-19, “FINRA Requests Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”. The Working Group also will review draft requests for interpretive guidance relating to Short Interest Reporting.

FIF will be hosting two webinars on best execution across asset classes. The first webinar, on Monday, September 27, 2021 from 4-5 pm ET, will focus on best execution for equities and options. The second webinar, on Tuesday, September 28, 2021 from 4-5 pm ET, will focus on best execution for fixed income and crypto-currency. Participants on the first panel include Wayne Aaron of the Vedder Price law firm, Brent Arnold of TD Ameritrade, Nate Pomeroy of Wolverine, and Peter Weiler of Abel Noser. Participants on the second panel include Constantinos Antoniades, adviser to TP ICAP, Mark Davies of S3, Alan Konecky of tZERO, Alex Sedgwick of Abel Noser, and David Weisberger of CoinRoutes.