On September 7, FIF submitted a letter to FINRA on the recent FINRA rule change that will require firms to publish reports on routing practices for OTC equities. FIF would like to thank the members of the FIF Rule 606 Working Group for their contributions in the drafting of this letter.
POSTED Sep 11,2023
Our Annual Chicago Event hosted by Cboe Global Markets will be taking place on Monday, October 30. Registration in the lobby begins at 3pm CT, the speaking engagement will be from 4-5:30pm CT with refreshments and networking afterwards from 5:30-7pm CT. The panel topics and speakers will be announced in the coming weeks and the registration page will be launched shortly. FIF would like to thank Cboe Global Markets for sponsoring this event. If you have any questions, please contact fifinfo@fif.com.
POSTED Sep 11,2023
FIF has scheduled a call for Tuesday September 12 at 2 pm ET to review (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, (iii) the SEC’s stay of the approval order on August 25, and (iv) the SEC’s September 1 Order directing the SROs to submit a revised consolidated market data governance plan. 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 Sep 11,2023
The next call for the FIF Emerging Technologies Working Group will be on Thursday September 14 at 11 am ET. The spotlight presenter will be Vinu Viswasadhas of Kyndryl, who will discuss Mainframe Data Modernization. If you would like to participate on this call and are not a member of the Emerging Technologies Working Group, please update your FIF profile or contact fifinfo@fif.com.
POSTED Sep 11,2023
The next call for the FIF Cybersecurity Working Group will be on Thursday September 21 at 3 pm ET. The spotlight presenter will be Matt Weinberg of the Cybersecurity and Infrastructure Agenda (CISA), who will discuss Current Threats to the Financial Industry and CISA’s 2023 Strategic Plan. CISA is an agency of the US Department of Homeland Security. If you would like to participate on this call and are not a member of the Cybersecurity Working Group, please update your FIF profile or contact fifinfo@fif.com.
POSTED Sep 11,2023
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