FIF has scheduled a call for the Compliance and Surveillance Working Group for Tuesday July 11 at 2 pm ET to discuss expanded surveillance by FINRA based on CAT data. FINRA representatives have noted to FIF members that FINRA is enhancing its surveillance routines based on CAT data. FIF members will discuss expanded surveillance by FINRA and potential steps industry members could take to enhance their internal surveillance in response to FINRA’s enhanced surveillance.
POSTED Jul 03,2023
FIF has scheduled a call for Thursday July 13 at 2 pm ET to discuss the use of “combined statement groups” (sending a single statement to separate account holders for multiple accounts) when the recent FINRA amendments to Rule 2231 (Customer Account Statements) take effect on January 1, 2024. If you would like to participate in this discussion, please send a note to fifinfo@fif.com.
POSTED Jul 03,2023
A FIF member would like to discuss with other FIF members retiring TRF reporting requirements that are duplicative of CAT (for example, regulatory reports to the TRF). If you would like to participate in this discussion, please send a note to fifinfo@fif.com.
POSTED Jul 03,2023
On Thursday June 29 at 5 pm, FIF will hold an in-person event at the offices of OTC Markets (300 Vesey Street, New York, NY 10282). There will be two panels. The first panel will discuss “SEC Exchange Act Rule 3b-16: New Exchange Definition, Revised ATS Regulation and Reg SCI.” The second panel will discuss “Evolution of Digital Assets to the Mainstream.” The panels will be moderated by FIF Advisory Chair, Tom Jordan. The panelists for the Rule 3b-16 panel will be Robert Laorno of the Intercontinental Exchange, Tom Merritt of Virtu, and Gary Stone of Bloomberg. The panelists for the digital assets panel will be Brian Mulcahy of StoneX Digital, John Palmer of Cboe Digital, Jeanine Hightower-Sellitto of EDX Markets, and Dan Zinn of OTC Markets. This event is free to attend for all FIF members. If you would like to attend, please register here.
POSTED Jun 26,2023
On June 22, FIF submitted a supplemental comment letter to the SEC on the SEC’s rule proposal on Disclosure of Order Execution Information. FIF would like to thank the members of the FIF Rule 605 Working Group for their contributions in the drafting of this supplement comment letter.
POSTED Jun 26,2023
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