The Front Office Committee will have its next call on Tuesday January 31 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges. The spotlight presenter will be Ari Burstein of IntelligentCross, who will discuss the recent FINRA filing with the SEC to add IntelligentCross as a participant of FINRA’s Alternative Display Facility (ADF).
POSTED Jan 30,2023
The next call for the Rule 605 Working Group will be on Tuesday January 31 at 1 pm ET. The Working Group will continue its discussion of the SEC’s recent rule proposal on Disclosure of Order Execution Information. FIF also has invited members of the Rule 606 Working Group for this call. If you are not a member of the Rule 605 Working Group and would like to participate on these calls, please update your FIF profile or contact fifinfo@fif.com.
POSTED Jan 30,2023
On Thursday February 2 at 11 am ET, James Dombach and Larry Bergmann of the Davis Wright Tremaine law firm will discuss the SEC’s recent Regulation Best Execution rule proposal. FIF has invited members of the Front Office Committee and the Compliance and Surveillance Working Group to participate on this call. If you would like to participate on this call and are not a member of either of these groups, please update your FIF profile or contact fifinfo@fif.com. If you have any questions or topics that you would like to submit to the presenters in advance of the call, please send them to fifinfo@fif.com, and FIF will forward them anonymously to the presenters.
POSTED Jan 30,2023
The FIF CAT Monthly Update Working Group call for February will be on Thursday February 2 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 also will review the current areas of focus for FIF members and the current open issues for CAT transaction reporting and CAT CAIS reporting.
POSTED Jan 30,2023
FIF has scheduled the next call for the Rule 606 Working Group for Thursday February 2 at 3 pm ET. The Working Group will review a draft supplemental comment letter on the FINRA rule filing with the SEC to require disclosure of order routing information for OTC equities. The draft supplemental comment letter relates specifically to proposed reporting for OTC Link workflows. The Working Group also will discuss a question from an FIF member on determining the marketability of an order for Rule 606(a) reporting in a look-through scenario.
POSTED Jan 30,2023
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Deshalb, im Laufe der Jahre konnten wir einen Ruf als einer der besten unabhängigen Beratern zu bauen. Wir verstehen die Bedeutung der Kunden auf dem richtigen Weg zum Erfolg bringen, und wir sind bereit, mit ihnen der Planung in allen Bereichen zu arbeiten.
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