An FIF member would like to discuss with other FIF members the FINRA rule change relating to Residential Supervisory Locations (“RSLs”) and FINRA Regulatory Notice 24-02, which provides implementation details for designating RSLs. If you are interested in participating in this discussion, please contact fifinfo@fif.com, and we will include you in the discussion.
POSTED Feb 20,2024
FIF is pleased to welcome Wedbush Securities to the FIF Community.
POSTED Feb 12,2024
On Friday February 16, Howard Meyerson of FIF will be a panelist at the STA Florida Annual Conference. The title for the panel is “Electronic Trading, Surveillance, and Supervision: Regulatory Guidance and Updates Across Asset Class.” Erin Clemens of Trumid will be the moderator for the panel. The other panelists will be Rick Agster of Raymond James, Nikki Brinkerhoff of TradeStation, and Ted Karn of The Karn Group.
POSTED Feb 12,2024
FIF has scheduled an additional call for the CAT Transaction Reporting Working Group for this week. On Monday February 12 at 2 pm ET, the Working Group will continue its discussion of CAT billing and reconciliation. The Monday call is in addition to the regularly-scheduled CAT Transaction Reporting Working Group call on Wednesday February 14 at 2 pm ET.
POSTED Feb 12,2024
FINRA representatives have notified FIF that FINRA is considering changes to the TRF and ORF reporting systems to allow for reporting of fractional shares. FIF has scheduled a call for the Data and Technology Committee, the CAT Transaction Reporting Working Group, the Fractional Shares Subgroup, and the TRF Reporting Subgroup to discuss the implications of this change for TRF and ORF reporting, the SIP feed and CAT fees. FIF has scheduled this call for Monday February 12 at 3 pm ET.
POSTED Feb 12,2024
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