2022 Annual FIF Chicago Financial Markets Event

FIF would like to thank Cboe for hosting the Annual FIF Chicago Financial Markets Event on November 3. The event focused on regulatory, technology and market data developments for options. FIF would like to thank the keynote speaker (Catherine Clay, Cboe’s Global Head of Data and Access Solutions) and the panelists for the regulatory panel (Jeremy Kahn of Jane Street, Angela Lucas of Simplex and Nicole Pursley of Cboe) and the technology and market data panel (Melisse Morris of IMC and Jeff Wells of Cboe) for their participation.

POSTED Nov 07,2022

CAT Monthly Update Working Group Call

The FIF CAT Monthly Update Working Group call for November will be on Thursday November 10 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.

POSTED Nov 07,2022

Fractional Share Orders

On Monday November 14 at 2 pm ET FIF will host a joint call for the Compliance and Surveillance Working Group and the Back Office Committee focused on fractional share orders. Topics of discussion will include: fractional share workflows, including notional value orders, direct indexing, automated investment plans and dividend reinvestment plans; routing of orders and allocation of executed shares; trading capacity (mixed agency versus principal); restrictions on trading as principal for affiliated advisory accounts; classification of fractional share orders as held and not held; orders received prior to market open; trading along (FINRA Rule 5320); and TRF and CAT reporting issues. If you are not a member of the Compliance and Surveillance Working Group or the Back Office Committee and you would like to join this call, please contact fifinfo@fif.com, and we will include you on the call.    

POSTED Nov 07,2022

2022 Annual FIF Chicago Financial Markets Event

FIF is sponsoring an event at Cboe in Chicago on Thursday November 3 at 4 pm (CT). The event is free for FIF members and will cover regulatory, technology and market data developments for options. Catherine Clay, Cboe’s Global Head of Data and Access Solutions, will welcome FIF members and give an update on Cboe strategy. The panelists for the technology and market data panel include Melisse Morris of IMC and Jeff Wells of Cboe. The panelists for the regulatory panel include Jeremy Kahn of Jane Street, Angela Lucas of Simplex and Nicole Pursley of Cboe. Tom Jordan, Head of the FIF Advisory Committee, will moderate the panels. FIF has sponsored this event at Cboe annually for many years prior to 2020. Please click here to register and for additional detail about the program. Questions? Email fifinfo@fif.com 

POSTED Oct 31,2022

FIF Compliance and Surveillance Working Group

The FIF Compliance Working Group has been renamed as the FIF Compliance and Surveillance Working Group. As this name change indicates, this Working Group will focus on compliance and surveillance topics. Erin Clemens of StoneX and Holly Dito of Pershing will serve as the Co-Chairs for this Working Group.   

POSTED Oct 31,2022

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