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 is scheduled for Tuesday, September 28 at 2pm ET.
POSTED Sep 27,2021
On September 22, 2021, members of the FIF Rule 606 Working Group met with SEC Commissioner Roisman and his advisers to discuss the challenges with Rule 606 look-though for options. FIF will be meeting with the SEC Trading and Markets Staff on September 30, 2021 to continue this discussion.
POSTED Sep 27,2021
FIF will be hosting two webinars on best execution across asset classes. The first webinar, on Monday, September 27 from 4-5 pm ET, will focus on best execution for equities and options. The second webinar, on Tuesday, September 28 from 4-5 pm ET, will focus on best execution for fixed income and cryptocurrency. Participants on the first panel include Wayne Aaron of the Vedder Price law firm, Brent Arnold of TD Ameritrade, Craig Murray and Nate Pomeroy of Wolverine, Michael Post of BXS, and Peter Weiler of Abel Noser. Participants on the second panel include Constantinos Antoniades, adviser to Liquidnet, Mark Davies of S3, Alan Konevsky of tZERO, Alex Sedgwick of Abel Noser, and Dave Weisberger of CoinRoutes.
POSTED Sep 20,2021
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
FIF is creating a new Compliance Working Group. To sign up for this new working group, update your profile here.
POSTED Sep 20,2021
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