Rule 606 Working Group
FIF has scheduled the next call for the Rule 606 Working Group for Tuesday April 4 at 3 pm ET. The Working Group will discuss the expected response by FINRA to the SEC order seeking further comment on the FINRA rule proposal…
CAT Transaction Reporting Working Group: Presentation by CAT Plan Participants
03 April 2023
For the CAT Transaction Reporting Working Group call for this week (on Wednesday April 5 at 2 pm ET), the CAT Plan Participants will present to the Working Group on the potential cost savings for turning off linkage in the C…
CAT and CAIS Scheduling Updates
03 April 2023
For this week only, the Wednesday FIF CAIS Working Group call be at 10 am ET instead of 11 am ET. This is to avoid a time conflict with the StoneX webinar discussed below.
Going forward, FIF will continue to send weekly i…
StoneX Webinar on Ending of SEC "No-Action" Relief for MiFID II Clients
03 April 2023
The SEC “No-Action” relief permitting U.S. brokers to accept cash research payments from MiFID-regulated clients is set to expire on July 3, 2023, leaving many global managers and brokers unsure of the right course of action…
New SEC Cyber, Reg SCI and Reg S-P Working Group
03 April 2023
FIF has created a new SEC Cyber, Reg SCI and Reg S-P Working Group. To join this Working Group, please update your FIF profile or contact This email address is being protected from spambots. You need JavaScript enabled to vi…
SEC Cyber, Reg SCI and Reg S-P Rule Proposals
03 April 2023
FIF has scheduled a call for Tuesday April 11 at 11 am ET to review and discuss the SEC’s recent cyber, Reg SCI and Reg S-P rule proposals. FIF has invited members of the following Working Groups to participate on this call…
FINRA Presentation to FIF Members on 2023 Cyber Priorities
03 April 2023
On Thursday April 13 at 11 am ET, Greg Markovich, Senior Director in the FINRA Cyber Enabled Fraud (CEF) Group, will discuss FINRA’s 2023 cyber-related priorities. FIF has invited members of the FIF Cybersecurity Working Gro…
StoneX Webinar on Ending of SEC "No-Action" Relief for MiFID II Clients
27 March 2023
The SEC “No-Action” relief permitting U.S. brokers to accept cash research payments from MiFID-regulated clients is set to expire on July 3, 2023, leaving many global managers and brokers unsure of the right course of action…
SEC Reg NMS Rule Proposal: Minimum Pricing Increments, Access Fees and Transparency of Better Priced Orders
27 March 2023
FIF has scheduled a call for Tuesday March 28 at 10 am ET for FIF members to provide final comments on the draft FIF comment letter on the SEC rule proposal on Regulation NMS: Minimum Pricing Increments, Access Fees and Tran…
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