SEC Open Meeting on Expanding the Definition of “Dealer”

The SEC has scheduled an open meeting for Wednesday January 31 at 9 am ET. At the meeting, “The Commission will consider whether to adopt new rules to further define the phrase ‘as a part of a regular business’ as used in the statutory definitions of the terms ‘dealer’ and ‘government securities dealer’ under the Securities Exchange Act of 1934, in connection with certain liquidity providers.” You can access the meeting from the SEC’s home page at the scheduled start time for the meeting.

POSTED Jan 29,2024

Cybersecurity Working Group

FIF has scheduled the next call for the Cybersecurity Working Group for Wednesday January 31 at 3 pm ET. Matt Weinberg of the Cybersecurity and Infrastructure Agency (CISA) will provide an update on current threats to the financial industry. CISA is an agency of the US Department of Homeland Security. The Working Group will also review recent FINRA and NSA updates relating to cybersecurity. If you would like to participate on this call and are not a member of the Cybersecurity Working Group, please update your FIF profile or contact fifinfo@fif.com.

POSTED Jan 29,2024

Fractional Shares Subgroup

FIF has scheduled a call for the Fractional Shares Subgroup for Thursday February 1 at 10 am ET. The agenda for the call is to discuss a question from an FIF member on the confirmation requirements when a fractional share position originated in the dividend reinvestment process is liquidated. If you would like to participate on this call and are not a member of the Fractional Shares Subgroup, please contact fifinfo@fif.com.

POSTED Jan 29,2024

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