TRACE Working Group

FIF has scheduled a call for the TRACE Working Group for Thursday February 22 at 10 am ET. The Working Group will discuss FIF potentially submitting a supplemental comment letter on the FINRA and MSRB rule proposals to reduce the reporting timeframes for corporate, agency and municipal bonds to one minute.

POSTED Feb 20,2024

Law Firm Presentation on SEC Rule to Expand the Definition of “Dealer”

On Thursday February 22 at 11 am, Ignacio Sandoval of the Morgan Lewis law firm will review the rule adopted by the SEC to expand the definition of “dealer” under the Securities Exchange Act. FIF has invited the members of the Compliance and Surveillance Working Group and the SEC/FINRA Regulations Working Group to participate on this call. If you would like to participate on this call and are not a member of either Working Group, please update your FIF profile or contact

POSTED Feb 20,2024

Presentation by Amazon Web Services on Running an Exchange in the Cloud

The Data and Technology Committee will have its next call on Wednesday February 28 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, option, currency, crypto and futures markets. The spotlight presenters will be Alex Mirarchi and Mike Perna of Amazon Web Services, who will discuss their recent white paper on Running an Exchange in the Cloud. FIF has also invited the members of the FIF Emerging Technologies Working Group to participate on this call.

POSTED Feb 20,2024

Residential Supervisory Locations

An FIF member would like to discuss with other FIF members the FINRA rule change relating to Residential Supervisory Locations (“RSLs”) and FINRA Regulatory Notice 24-02, which provides implementation details for designating RSLs. If you are interested in participating in this discussion, please contact, and we will include you in the discussion.

POSTED Feb 20,2024

© 2024 Financial Information Forum

Press enter to search
Press enter to search

Interested in joining us?

Download membership kit

Key Reasons to Join

  1. Stay informed on Current Regulatory and Market Initiatives
  2. Drive Industry Issues to Successful Resolution
  3. Impact the implementation timing and methodology of new rules
  4. Apply FIF Insight Within Your Firm