FIF has scheduled the next call for the Rule 606 Working Group for Tuesday September 5 at 2 pm ET. The agenda for the call will be to continue the review and discussion of the SEC’s recent approval of the FINRA rule filing to require Rule 606(a)-type reporting for OTC equities and to review draft FIF member comments and questions to FINRA relating to the new rule.
POSTED Aug 21,2023
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 21,2023
The Back Office Committee will have its next call on Tuesday August 15 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. There will be two spotlight presentations for this call. First, Robert Cavallo of DTCC will provide an update on T+1 testing. Second, Nikki Brinkerhoff of TradeStation will discuss a recent S-1 filing by Next Bridge that would distribute non-transferable subscription rights only to holders who register their Next Bridge common stock directly with the company's transfer agent.
POSTED Aug 14,2023
FIF has scheduled the next call for the FIF Rule 606 Working Group for Tuesday August 15 at 2 pm ET. The agenda for the call will be to review and discuss the SEC’s recent approval of the FINRA rule filing to require Rule 606(a)-type reporting for OTC equities. The Working Group will also discuss issues and questions from FIF members relating to Rule 606 reporting.
POSTED Aug 14,2023
FIF has scheduled a call for Thursday August 17 at 11 am ET to continue the FIF member discussion of enhancing the reconciliation process for Section 31 fees. During the call, the group will review a draft proposal to FINRA requesting that FINRA provide clearing and executing firms with a monthly report of trade executions and the amount charged for each trade execution. If you would like to participate on this call and have not previously notified FIF of your interest in this topic, please send a note to fifinfo@fif.com.
POSTED Aug 14,2023
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