FIF In-Person Event Sponsored by OTC Markets

On Monday May 6th FIF will hold an event at the offices of OTC Markets (300 Vesey Street, New York, NY 10282). There will be two panels, with one focusing on Digital Assets - Regulations, Processing & Technology and the other focusing on SEC Rule 605, FINRA Rule 6151 (Rule 606 filings with FINRA), SEC Rule 13f-2 (short position reporting), CAT, and fractional shares on the TRF.

Our first panel of the evening will be “Digital Assets- Regulations, Processing & Technology”. The panel will cover public & private securities from issuance to trading and settlement and custody. On the panel will be Shawn Sloves of Fundamental Interactions, Tom Sullivan of Societe Generale and Dan Zinn of OTC Markets. The panel will be moderated by FIF Advisory Chair, Tom Jordan.  

The second panel is “Current Implementation Challenges of SEC Rule 605, FINRA Rule 6151 (Rule 606 filings with FINRA), SEC Rule 13f-2 (short position reporting), CAT, fractional shares on the TRF and TRACE”. On the panel will be David Emero of n-Tier fs, Tom Hochleutner of Clear Street, Alex Raisch of SMBC Nikko and Jacki VanMoer of Goldman Sachs. The panel will be moderated by FIF Managing Director, Howard Meyerson.  

Registration in the lobby begins at 4:15pm, the speaking engagement will be from 5-6:30 pm with refreshments and networking afterwards from 6:30-8pm. Please note the event capacity is 120, once capacity is reached we will form a waiting list for the event. FIF would like to thank OTC Markets for sponsoring this event. FIF Members can register for free below, if you have any questions you may contact the program office at fifinfo@fif.com.