FIF In-Person Event: Hosted by OTC Markets

On Thursday June 29, FIF will hold an in-person event at the offices of OTC Markets (300 Vesey Street, New York, NY 10282). There will be two panels, with one focusing on the SEC rule proposal to amend the Rule 3b-16 definition of exchange and the other focusing on digital assets/crypto regulation. This event is free to attend for all FIF members. If you would like to attend, please register here.

POSTED May 30,2023

Rule 605 Working Group

FIF has scheduled the next call for the Rule 605 Working Group for Tuesday May 30 at 3 pm ET. The Working Group will discuss the May 17 call between FIF members and SEC staff relating to the SEC’s rule proposal on Disclosure of Order Execution Information and discuss a draft supplemental comment letter to be submitted by FIF.

POSTED May 30,2023

Rule 606 Working Group

The next call for the FIF Rule 606 Working Group is scheduled for Wednesday May 31 at 3 pm ET. The Working Group will review a draft supplemental FIF comment letter on the FINRA rule proposal for order routing disclosures for OTC equities. The comment letter is focused on the scenario where a reporting firm routes child orders to multiple execution venues for a single parent order.

POSTED May 30,2023

CAT Monthly Update Working Group Call

The FIF CAT Monthly Update Working Group call for June will be on Thursday June 1 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 will also review the current areas of focus for FIF members and the current open issues for CAT Transaction Reporting and CAT CAIS reporting.

POSTED May 30,2023

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