FIF would like to thank all those who attended the FIF CAT webinar on Thursday, July 23rd. Specific topics included interfirm linkage testing, production timelines, tools made available by FINRA CAT, Industry-centric challenges and operational enhancements. Panelists included Shelly Bohlin, FINRA CAT; Josh Beaton, Morgan Stanley; Katie Madison, FINRA; Michael Brooks, Oppenheimer; and Gregg Berman, Citadel. Please find the recording of the webinar here.
POSTED Jul 27,2020
As FIF's search for a new Director comes to a close, Andy White from Jordan & Jordan has stepped up to become the Interim Director of FIF until the final choice has been made. Andy is a Senior Compliance Executive at Jordan & Jordan and will bring a wealth of knowledge to our working group and committee calls during the next few weeks. As always, FIF will make sure to keep the community informed of any updates, and if you have any questions, please do not hesitate to email us at fifinfo@fif.com.
POSTED Jul 27,2020
FIF will be hosting a CAT Roundtable on this Thursday, July 23rd at 3:00pm et focused on best practices associated with the upcoming CAT Phase 2a and Phase 2b linkage validations. The webinar will feature speakers representing several industry and regulatory stakeholders. Registration is open to both members and non-members. To register, please follow the link here.
POSTED Jul 20,2020
FIF will be meeting with SEC Staff on Wednesday, July 15 to discuss several remaining issues related to the implementation of Rule 606(a) and Rule 606(b). FIF will discuss the outcome of that meeting during a subsequent meeting scheduled for Thursday, July 16 at 11:00am et.
POSTED Jul 13,2020
FIF will be hosting a CAT Roundtable on Thursday, July 23rd at 3:00pm et focused on best practices associated with the upcoming CAT Phase 2a and Phase 2b linkage validations. The webinar will feature speakers representing several industry and regulatory stakeholders. Registration is open to both members and non-members. To register, please follow the link here.
POSTED Jul 13,2020
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