FIF has scheduled a call for Tuesday October 24 at 2 pm ET to review regulatory reporting fines for 2022 and 2023, including CAT, EBS, LOPR, Rule 605, Rule 606, short interest reporting, swap data reporting, TRACE, trade advertising and TRF/ORF. All firm names and dates are excluded from the presentation. If any reporting areas are not covered on this call, they will be covered on a future call. FIF has invited members of the Compliance and Surveillance Working Group to participate on this call. FIF has also created a new Regulatory Reporting Fines Working Group. If you are not a member of either Working Group and would like to participate on this call, please update your FIF profile or contact fifinfo@fif.com.   

The SEC has scheduled an open meeting for Wednesday October 18 at 10 am ET on Volume-Based Exchange Transaction Pricing for NMS Stocks. According to the agenda published by the SEC, the SEC “will consider whether to propose a new rule to prohibit national securities exchanges from offering volume-based transaction pricing in connection with the execution of agency-related orders in NMS stocks; and to require national securities exchanges to have certain anti-evasion rules and written policies and procedures and disclose certain information if they offer volume-based transaction pricing for member proprietary volume in those stocks.”

FIF is excited to partner once again with Cboe Global Markets on our Annual FIF Chicago Event. After opening remarks from Catherine Clay, there will be two panels, one focusing on regulation and compliance, and the other focusing on market data and technology. FIF Advisory Chair, Tom Jordan, will moderate both panels. The regulation and compliance panel will feature Gregg Berman of Citadel, Angela Lucas of Simplex and Nicole Pursley of Cboe Global Markets. The market data and technology panel will feature Jeff Wells of Cboe Global Markets, along with additional panelists to be announced soon. We will continue to update the registration page with topics and panelists. Check back for updates. The event will take place on October 30 at Cboe's offices at 433 West Van Buren Street, Chicago, IL 60607. Registration in the lobby begins at 3 pm CT. The speaking engagement will be from 4-5:30 pm CT, with refreshments and networking afterwards from 5:30-7 pm CT. FIF would like to thank Cboe Global Markets for sponsoring this event. Please register here to secure your spot. FIF events are free to attend for FIF Members. If you have any questions, please contact fifinfo@fif.com.

FIF is excited to announce our year-end event will take place on the evening of Tuesday December 5, and it will be sponsored by Société Générale. Those who were at the last Société Générale event back in 2017 know what a great venue this is, and FIF is excited to partner with Société Générale once again. We are planning on running two panels, with the first focusing on technology, including trading infrastructure in the cloud. The second panel will focus on operational challenges of new regulations in 2024 and beyond. Please save the date on your calendars as December can get busy before the holidays. FIF will create a registration page for this event following the completion of our FIF Chicago event on October 30.

FIF has scheduled a call for Tuesday October 10 at 11 am to discuss questions from an FIF member on how a firm should calculate its market share for determining whether it has exceeded specific market share thresholds set forth in the SEC’s Reg ATS and Reg SCI. If you would like to participate on this call, please contact fifinfo@fif.com.