Emerging Technologies Working Group

The next call for the FIF Emerging Technologies Working Group will be on Thursday September 14 at 11am 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 05,2023

Recent SEC Actions Impacting Equity Markets: Rule Change to Require Proprietary Trading Firms to Register with FINRA; SEC Approval of IntelligentCross ATS as a New Entrant to the ADF and Subsequent Stay; SEC Order Directing SROs to Submit a New Consolidat

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 05,2023

Cybersecurity Working Group

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 05,2023

Tax Information Reporting Working Group

The next call for the FIF Tax Information Reporting Working Group will be on Thursday September 28 at 3 pm ET. The spotlight presenter will be Neil Bromberg of EY, who will discuss Automation and AI in Tax Operations. FIF has also invited the members of the FIF Emerging Technologies Working Group for this call. If you would like to participate on this call and are not a member of either of these Working Groups, please update your FIF profile or contact fifinfo@fif.com.

POSTED Sep 05,2023

Next Bridge Hydrocarbons Form S-1 Filing

Next Bridge Hydrocarbons recently filed a Form S-1 registration statement with the SEC to distribute non-transferable subscription rights only to holders who register their Next Bridge common stock directly with the company's transfer agent. This is a press release issued by Next Bridge. If you are interested in discussing this issue with other FIF members, please send a note to fifinfo@fif.com.

POSTED Sep 05,2023

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