Spotlight Presentation on Recent SEC Fines Relating to PII

On October 12, 2021, Peter Chan and Valerie Mirko of the Baker McKenzie law firm will discuss the recent SEC fines against firms for failure to protect personally identifiable information (PII) of customers. This will be a spotlight presentation during the October Cybersecurity Working Group call. The invite for this presentation will be sent to all members of the FIF Cybersecurity Working Group and the newly-created FIF Compliance Working Group. The invite has not been sent out yet, so if you are interested in participating on this call, please update your profile and add yourself to either the Cybersecurity Working Group or the newly formed Compliance Working Group. Email us at fifinfo@fif.com if you have any questions.

POSTED Sep 20,2021

SEC Rule 15c2-11 Amendments (Rule Governing Quotations for OTC Securities)

The upcoming amendments to SEC Rule 15c2-11 provide an exception from the issuer information requirements that allows for the display of an unsolicited customer order where the customer is not an insider or affiliate of the issuer. FIF members that are retail brokers have identified challenges in complying with this exception. FIF has scheduled a call on this topic for today (September 20) at 1pm ET. If you are interested in participating on this call, please send a note to fifinfo@fif.com.

POSTED Sep 20,2021

Upcoming Spotlight Presentation

Data and Technology Committee: On Wednesday, September 29 at 10am ET, the FIF Data and Technology Committee will be treated to a spotlight presentation from Cboe's Angelo Evangelou who will discuss a new paper from Cboe Global Markets that focuses on Targeted Equity Market Structure Reform and its recommendations in updating certain rules and regulations.

POSTED Sep 20,2021

Rule 605 for Options

The SEC staff have advised FIF that the SEC is considering the expansion of Rule 605 to cover options. The SEC staff have requested input from FIF on this topic. The FIF Rule 605 Working Group is working on a set of recommendations relating to Rule 605 for options. The next meeting for this Working Group will be scheduled for the week of September 27.

POSTED Sep 20,2021

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