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Spotlight Presentation on SEC Proposed Amendments to Reg ATS and Reg SCI: Part II

22 February 2022
On Tuesday March 1 at 11am ET, Ignacio Sandoval and Kyle Whitehead of the Morgan Lewis law firm will continue their review of the SEC’s recently-proposed amendments to Regulations ATS and Regulation SCI. The amendments propo…
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Webinar on Current Developments in Trading Technology

22 February 2022
On Monday March 7, 2022 at 4pm ET, FIF will host a webinar on Current Developments in Trading Technology. The webinar will include discussion of the following topics: converting voice communications to structured electronic…
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Spotlight Presentation on Chief Compliance Officer Liability

22 February 2022
On Thursday March 10, 2022 at 3pm ET, FIF will host a spotlight presentation on Chief Compliance Officer liability. Patrick Campbell of the Baker Hostetler law firm, Adam Felsenthal, General Counsel of Great Point Partners…
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Spotlight Presentation on SEC Proposed Amendments to Reg ATS and Reg SCI

14 February 2022
On Tuesday February 15 at 2 pm ET, Ignacio Sandoval and Kyle Whitehead of the Morgan Lewis law firm will present on the SEC’s recently-proposed amendments to Regulations ATS and Regulation SCI. The amendments propose to appl…
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FIF CAT CAIS Working Group

14 February 2022
FIF has scheduled an additional call this week for the FIF CAT CAIS Working Group to review the updated versions of the CAT CAIS Industry Member Reporting Scenarios published by FINRA CAT on January 28, 2021 and February 4…
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FIF TRACE Working Group

14 February 2022
The FIF TRACE Working Group will meet on Thursday February 17 at 11am ET to continue its discussion of the rule adopted by the Federal Reserve Board to expand TRACE reporting for Treasury and agency securities to certain dep…
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FIF Rule 606 Working Group

14 February 2022
The FIF Rule 606 Working Group will meet on Thursday February 17 at 2pm ET to continue its discussion of the draft interchange report to facilitate Rule 606(a) options look-through reporting. The Working Group also will disc…
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Spotlight Presentation for FIF Back Office Committee

14 February 2022
The FIF Back Office Committee will meet on Tuesday February 15 at 11am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. The spotlight presenter for the meeting will be Pat…
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Spotlight Presentation for FIF Front Office Committee

14 February 2022
The FIF Front Office Committee will meet on Tuesday February 22 at 11am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges. The spotlight presenter for the meeting…
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