An FIF member would like to discuss with other members the requirement under SEC Rule 17a-11(c) for a broker-dealer to provide same-day notice to the SEC and FINRA if the firm fails to make and keep current any books and records required by SEC Rule 17a-3. If you are interested in participating in this discussion and are not already a participant in the FIF electronic recordkeeping sub-group, please send a note to fifinfo@fif.com.
POSTED Nov 06,2023
POSTED Nov 01,2023
Yesterday FIF held its largest Chicago event to date in our long history of partnering with Cboe Global Markets. There were two panels, one focusing on regulation and compliance, and the other focusing on trading technology. The compliance panel featured Gregg Berman of Citadel, Angela Lucas of Simplex Trading and Nicole Pursley of Cboe Global Markets. The trading technology panel featured Mike Smith of IPC Systems, Raymond Tsui of SS&C Eze and Jeff Wells of Cboe Global Markets. In-between the two panels, we had a great spotlight presentation from Cboe's Henry Schwartz, who covered the current state of the options market. FIF would like to thank all speakers, panelists and of course Cboe for a great evening.
POSTED Oct 31,2023
On October 26, FIF submitted letters to the CAT Plan Participants and FINRA CAT on (i) CAT reporting for non-executable RFQ responses, and (ii) data requested by FIF members for reconciliation of CAT invoices.
POSTED Oct 30,2023
FIF has scheduled a call for Thursday November 2 at 11 am ET to review the SEC’s recent adoption of a rule to require monthly reporting of short positions and short activity. FIF has invited members of the FIF Short Sales / Reg SHO / Short Interest Reporting Working Group to participate on this call. If you would like to participate on this call and are not a member of this Working Group, please update your FIF profile or send a note to fifinfo@fif.com.
POSTED Oct 30,2023
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