FIF to Host Webinars on Best Execution Across Asset Classes

FIF will be hosting two webinars on best execution across asset classes. The first webinar, on Monday, September 27, 2021 from 4-5 pm ET, will focus on best execution for equities and options. The second webinar, on Tuesday, September 28, 2021 from 4-5 pm ET, will focus on best execution for fixed income and crypto-currency. Participants on the first panel include Wayne Aaron of the Vedder Price law firm, Brent Arnold of TD Ameritrade, Nate Pomeroy of Wolverine, and Peter Weiler of Abel Noser. Participants on the second panel include Constantinos Antoniades, adviser to TP ICAP, Mark Davies of S3, Alan Konecky of tZERO, Alex Sedgwick of Abel Noser, and David Weisberger of CoinRoutes.

POSTED Sep 07,2021

FIF Survey on Rule 605 for Options

On August 10, 2021, FIF sent a survey to FIF members on Rule 605 for options. This is an opportunity for FIF members to provide input to the SEC before the SEC issues a rule proposal in this area. FIF requests that members provide their survey responses by September 13, 2021. Earlier responses also are welcome. All responses are anonymized. The FIF Rule 605 Working Group will meet on September 14, 2021 to review the FIF member responses.

POSTED Sep 07,2021

Monthly FIF CAT Committee Call

Because of the Labor Day weekend, the monthly CAT Committee call for September has been moved from September 2 to September 9, 2021 at 2pm ET.

POSTED Sep 07,2021

Short Interest Reporting

On September 9, 2021 at 11am ET, the FIF Reg SHO/Short Interest Reporting Working Group will continue its discussion of a draft comment letter on FINRA Regulatory Notice 21-19, “FINRA Requests Comment on Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”.

POSTED Sep 07,2021

FIF Rule 606 Working Group

After a series of Working Group discussions, FIF has requested calls with the SEC Division of Trading and Markets personnel and the SEC Commissioners and their advisers to discuss look-through for Rule 606 reporting of options routing. FIF has scheduled calls with two of the SEC Commissioners for September and October. FIF will schedule the next Rule 606 Working Group call after the initial SEC call.

POSTED Sep 07,2021

© 2024 Financial Information Forum

Press enter to search
Press enter to search

Interested in joining us?

Download membership kit

Key Reasons to Join

  1. Stay informed on Current Regulatory and Market Initiatives
  2. Drive Industry Issues to Successful Resolution
  3. Impact the implementation timing and methodology of new rules
  4. Apply FIF Insight Within Your Firm