The FIF CAT Monthly Update Working Group call for September will be on Thursday September 7 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting and CAT CAIS reporting during the prior month. The Working Group will also review the current areas of focus for FIF members and the current open issues for CAT Transaction Reporting and CAT CAIS reporting.
POSTED Aug 28,2023
FIF has scheduled a call for Tuesday September 12 at 2 pm ET to discuss (i) a rule change adopted by the SEC on August 23 that will require certain proprietary trading firms that are currently exempt from FINRA membership to become FINRA members, (ii) the August 24 approval of IntelligentCross ATS as a new entrant to the Alternative Display Facility by the SEC’s Division of Trading and Markets, and (iii) the SEC’s stay of the approval order on August 25. FIF has invited members of the Compliance and Surveillance Working Group, the Data and Technology Committee and the Front Office Committee to participate on this call. If you would like to participate on this call and are not a member of any of these groups, please update your FIF profile or contact fifinfo@fif.com.
POSTED Aug 28,2023
Next Bridge Hydrocarbons recently filed a Form S-1 registration statement with the SEC to distribute non-transferable subscription rights only to holders who register their Next Bridge common stock directly with the company's transfer agent. This is a press release issued by Next Bridge. If you are interested in discussing this issue with other FIF members, please send a note to fifinfo@fif.com.
POSTED Aug 28,2023
FINRA CAT has scheduled a call for Tuesday August 22 at 9 am to review the August 2 updates to the CAIS Technical Specifications. FIF has forwarded the calendar invitation for this call to members of the FIF CAIS Working Group. If you do not have this invitation in your calendar, please contact fifinfo@fif.com.
POSTED Aug 21,2023
The Front Office Committee will have its next call on Tuesday August 22 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.
POSTED Aug 21,2023
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