FIF has scheduled the next call for the Rule 606 Working Group for Tuesday August 13 at 3 pm ET. The Working Group will review and discuss a revised draft FIF letter to the SEC requesting guidance on how to report the percentage of orders routed to different venues in Rule 606(a) reports.
POSTED Aug 05,2024
An FIF member would like to discuss with other members managing stock plans for corporate clients, including whether they manage the activity at the omnibus level or the individual employee level. If you are interested in this topic, please contact fifinfo@fif.com, and we will include you in this discussion.
POSTED Aug 05,2024
An FIF member would like to discuss with other members the potential for FINRA to provide a certification for technology professionals. If you are interested in this topic, please contact fifinfo@fif.com, and we will include you in this discussion.
POSTED Aug 05,2024
FIF will host a webinar on trade surveillance on Tuesday July 30 at 3 pm ET. Holly Dito of Pershing will moderate the panel. The panelists will be Steve Bonanno of BXS, Ted Karn of The Karn Group, Chris Montagnino of Jordan & Jordan, and Jeremy Vest of S3. Topics for the webinar include: monitoring that the surveillance program is working as designed; configuration of alert thresholds; managing the exception handling process; outsourcing of surveillance and required oversight of vendors; use of AI for surveillance (value and limitations); surveillance for fixed income and other asset classes; surveillance of RIA customers; and SARs reporting obligations. FIF has invited the members of the Compliance and Surveillance Working Group for this webinar.
POSTED Jul 29,2024
The next call for the OFR Repo Reporting Working Group will be on Monday July 29 at 11 am ET. The Working Group will discuss issues and questions from FIF members relating to the new requirement to report repos that are executed bilaterally and not centrally-cleared. The Working Group will also discuss cross-border scenarios and review a draft supplemental letter to the OFR requesting additional guidance relating to the new reporting requirement.
POSTED Jul 29,2024
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