Upcoming FF Meetings with Regulators

  • FIF has an upcoming meeting with the SEC to discuss Rule 605 for options.
  • FIF has an upcoming meeting with FINRA CAT to discuss open issues on CAT CAIS reporting.
  • FIF has an upcoming meeting with the SEC to discuss interpretive guidance requested by FIF Members relating to various Rule 606 reporting issues, including options look-through. 

POSTED Jul 12,2021

Register Today - FIF Webinar on SEC Market Access Rule

On July 8 at 4 pm ET, FIF will host a webinar on the SEC’s market access rule (Rule 15c3-5). This webinar will focus on the rule's practical aspects, setting credit limits, the handling of market orders, the process for overriding limits, challenges of meme stocks, the annual CEO certification, enforcement trends, and more. The panel will include Jim Dolan of Luminex, Lillian Tan of Cantor Fitzgerald, and Wayne Aaron of Vedder Price. The panel discussion will be moderated by Tom Jordan, FIF Advisory Chair. Please register here.

POSTED Jul 06,2021

Reg SHO Working Group 7/6

The Reg SHO Working Group will meet on July 8 at 2 pm ET to discuss a comment letter on FINRA Regulatory Notice 21-19 relating to “Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”.

POSTED Jul 06,2021

FIF Webinar on SEC Market Access Rule

On July 8 at 4 pm ET, FIF will host a webinar on the SEC’s market access rule (Rule 15c3-5). This webinar will focus on the rule's practical aspects, setting credit limits, the handling of market orders, the process for overriding limits, challenges of meme stocks, the annual CEO certification, enforcement trends, and more. The panel includes Jim Dolan of Luminex, Lillian Tan of Cantor Fitzgerald, Wayne Aaron of Vedder Price and will be moderated by Tom Jordan, FIF Advisory Chair. Please register here or email fifinfo@fif.com with any questions.

POSTED Jun 28,2021

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