FIF - Financial Information Forum

Recent SEC 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

FIF has scheduled a call for Tuesday September 12 at 2 pm ET to discuss (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, and (iii) the SEC’s stay of the approval order on August 25. 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 Aug 28,2023

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 Aug 28,2023

FINRA CAT Call on CAIS Technical Specifications

FINRA CAT has scheduled a call for Tuesday August 22 at 9 am to review the August 2 updates to the CAIS Technical Specifications. FIF has forwarded the calendar invitation for this call to members of the FIF CAIS Working Group. If you do not have this invitation in your calendar, please contact fifinfo@fif.com.

POSTED Aug 21,2023

Front Office Committee

The Front Office Committee will have its next call on Tuesday August 22 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.

POSTED Aug 21,2023

Data & Technology Committee

The Data and Technology Committee will have its next call on Wednesday August 30 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 presenter will be Vincent Poil of Cboe Global, who will discuss recent developments in the Canadian Markets relating to trading, market data and listings.

POSTED Aug 21,2023

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