FIF News

FIF Met with SEC to discuss SEC Rule 606 Challenges

FIF met with the SEC Division of Trading and Markets Staff on Rule 606 on Thursday, April 11th.  FIF discussed several remaining challenges with respect to the implementatation of Rule 606.  If you would like more detail on the content of FIF's meeting with the Commission, please send an email to fifinfo@fif.com 

Posted Apr 15, 2019

New Member Firm: BMO Capital Markets

FIF is pleased to announce that BMO Capital Markets has joined the FIF Community.

Posted Apr 15, 2019

FIF Submits Letter to SROs on Current CAT Implementation Date

On Tuesday, April 2, FIF submitted a Comment Letter to the SROs focusing on the current CAT implementation schedule.  The letter raised a several remaining risks with respect to the current implementation milestones and proposed an alternative implementation schedule.  To view the letter, please click here.

Posted Apr 08, 2019

FIF to Attend Equinix Luncheon on CAT

FIF will be attending a luncheon/panel discussion hosted by Equinix on Wednesday, April 10.  The event will focus on the Consolidated Audit Trail, including data privacy issues, industry best practices, IT infrastructure requirements, and the long term benefits of CAT. The panel will be moderated by FIF Advisory Chair, Tom Jordan, who will be joined by Cindy Retterer of Nasdaq, Inc.  John Knuff of Equinix, Maria Zeckhausen of Credit Suisse.

 

 

Posted Apr 05, 2019

FIF to Meet with the SEC on Rule 606

FIF will be joined with a contingent of member firm representatives at an in-person meet with SEC Division of Trading and Markets Staff on Rule 606 on Thursday, April 11th.  FIF will discuss several remaining challenges with respect to the implementatation of Rule 606.  

Posted Apr 05, 2019