FIF News

FIF Forms a SEC Reg Best Interest Working Group

FIF has formed a new working group focued on Reg Best Interest.  The working group will focus on Reg Best Interest implementation considerations, which will include:  books and recordkeeping requirements, application of the Rule's definitional components, Rule analysis, and policy/procedure development.  FIF will hold a kick-off call on Thursday, October 24 @ 11:00am et.  If you would like to participate in this working group, please update your profile here

Posted Oct 14, 2019

FIF to hold a Chicago Financial Markets Event on October 22

Please join us on Tuesday, October 22, 2019 at Cboe Global Markets (400 South LaSalle Street, Chicago) for a luncheon and panel discussion on upcoming options initiatives. The event will begin with a keynote presentation from Manisha Kimmel, Senior Policy Advisor to SEC Chairman Jay Clayton, on the current status of CAT.  The keynote presentation will be followed by a panel discussion focusing on: the OCC Actionable Identifier Initiative, CAT Options Reporting, Options Exchange Initiatives, and OCC Initiatives.  FIF would like to thank Cboe Global Markets for sponsoring this event. Registration will close on Friday, October 18th at 5:00 PM ET. Please register here.

Posted Oct 07, 2019

FIF Moderating 606 Panel at the Annual STA Conference

FIF will be moderating a panel discussion on SEC Rule 606 at the 86th annual STA Market Structure Conference in Washington, D.C. on Friday, October 4.

Posted Sep 30, 2019

FIF Chicago Event 10/22

Please join us on Tuesday, October 22, 2019 at Cboe Global Markets (400 South LaSalle Street, Chicago) for a luncheon and panel discussion on upcoming options initiatives. The event will begin with a keynote presentation from Manisha Kimmel, Senior Policy Advisor to SEC Chairman Jay Clayton, on the current status of CAT.  The keynote presentation will be followed by a panel discussion focusing on: the OCC Actionable Identifier Initiative, CAT Options Reporting, Options Exchange Initiatives, and OCC Initiatives.  FIF would like to thank Cboe Global Markets for sponsoring this event. Registration will close on Friday, October 18th at 5:00 PM ET. Please register here.

Posted Sep 30, 2019

FIF Members Interviewed for Article on CAT

Several key FIF Members were interviewed by Pensions & Investments on the progress of CAT. Among those interviewed were FIF Cybersecurity Working Group Chair, Jim Dolan of Luminex, Ron Veith of J.P. Morgan Chase, Manisha Kimmel of the SEC (and former Managing Director of FIF), and Jim Toes of STA. To read this article, please follow the link here.

Posted Sep 30, 2019