An FIF member would like to discuss with other FIF members 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 Jun 26,2023
An FIF member would like to discuss with other members requesting that FINRA provide additional transparency to assist industry members in reconciling Section 31 fees. The FIF member would also like to discuss potential changes to address inefficiencies in the current collection process for Section 31 fees. If you would like to participate in this discussion, please send a note to fifinfo@fif.com.
POSTED Jun 26,2023
The Front Office Committee will have its next call on Tuesday June 27 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges. As the spotlight topic, representatives from AlphaSense will present on the use of AI for market research.
POSTED Jun 26,2023
The Data and Technology Committee will have its next call on Wednesday June 28 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets. The spotlight presenters will be Adrian Griffiths and Geralyn Endo of MEMX, who will discuss the launch of the new MEMX options exchange, including testing.
POSTED Jun 26,2023
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 Jun 26,2023
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