Amid an environment where asset management firms are increasingly collaborating with digital platforms to help efficiently launch new product offerings and de-risk entry into new markets, FLX Networks, which modernizes, simplifies, and drives engagement between asset managers and financial advisors, has partnered with global Fintech leader Broadridge Financial Solutions, Inc. as a preferred data and analytics provider to asset management firms. Asset managers utilize FLX Networks to modularly implement a complementary turnkey distribution solution. Some leverage only data, digital, and...

Abel Noser Solutions announced that it has launched a fixed income trade surveillance product within the company's Compliance+ suite.  Compliance officers can use this new tool to monitor fixed income trades for identifying cross trades, spoofing, marking the close, wash trades and many other violations.    The platform provides an easy-to-navigate and graphically attractive front-end to quickly review compliance alerts or change thresholds.  The new tool is targeted toward compliance officers of investment advisors, hedge funds, broker-dealers, and...

Morgan Stanley Investment Management (“MSIM”) announced the launch of an exchange-traded fund (“ETF”) platform with the listing of six Calvert ETFs on NYSE Arca. The ETF product suite features Calvert Research and Management’s approach to responsible investing and offers investors access to four indexed Environmental Social Governance (“ESG”) strategies and two active ESG strategies across a range of asset classes. “The launch of MSIM’s ETF platform builds on our world class investment capabilities with a diverse set of investment vehicles that aim to provide strategic value for our...

On January 27, FIF submitted a comment letter on FINRA Regulatory Notice 22-26, “FINRA Requests Comment on Proposed Changes to TRACE Reporting Relating to Delayed Treasury Spot Trades”. FIF would like to thank the members of the FIF TRACE/Fixed Income Working Group for their contributions in the drafting of this comment letter.

FIF has scheduled a call for Monday January 30 at 2 pm ET to continue the discussion of the SEC’s Order Competition Rule proposal. FIF has invited members of the Data and Technology Committee, the Front Office Committee and the Compliance and Surveillance Working Group 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 This email address is being protected from spambots. You need JavaScript enabled to view it..

The Front Office Committee will have its next call on Tuesday January 31 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges. The spotlight presenter will be Ari Burstein of IntelligentCross, who will discuss the recent FINRA filing with the SEC to add IntelligentCross as a participant of FINRA’s Alternative Display Facility (ADF).

The next call for the Rule 605 Working Group will be on Tuesday January 31 at 1 pm ET. The Working Group will continue its discussion of the SEC’s recent rule proposal on Disclosure of Order Execution Information. FIF also has invited members of the Rule 606 Working Group for this call. If you are not a member of the Rule 605 Working Group and would like to participate on these calls, please update your FIF profile or contact This email address is being protected from spambots. You need JavaScript enabled to view it..

On Thursday February 2 at 11 am ET, James Dombach and Larry Bergmann of the Davis Wright Tremaine law firm will discuss the SEC’s recent Regulation Best Execution rule proposal. FIF has invited members of the Front Office Committee and the Compliance and Surveillance Working Group to participate on this call. If you would like to participate on this call and are not a member of either of these groups, please update your FIF profile or contact This email address is being protected from spambots. You need JavaScript enabled to view it.. If you have any questions or topics that you would like...

The FIF CAT Monthly Update Working Group call for February will be on Thursday February 2 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting and CAT CAIS reporting during the prior month. The Working Group also will review the current areas of focus for FIF members and the current open issues for CAT transaction reporting and CAT CAIS reporting.