FIF has scheduled the next call for the Rule 606 Working Group for Tuesday April 23 at 1 pm ET. The Working Group will discuss implementation of FINRA Rule 6151 (centralized reporting of Rule 606(a) reports to FINRA), including the Filing Guide published by FINRA, and issues and questions from FIF members relating to Rule 606.
POSTED Apr 22,2024
FIF has scheduled the next call for the Rule 605 Working Group for Tuesday April 23 at 3 pm ET. The Working Group will continue its review and discussion of the changes to Rule 605 that the SEC adopted on March 6. The Working Group will also review and discuss a draft FIF letter to the SEC relating to implementation of the changes to Rule 605.
POSTED Apr 22,2024
The Data and Technology Committee will have its next call on Wednesday April 24 at 10 am ET to review capacity, latency and volume data for the prior month for the equity, options, currency, crypto and futures markets. The spotlight presenter will be Bill Bierds of the BCC Group, who will discuss The Future of Market Data in the Cloud. FIF has also invited the members of the Emerging Technologies Working Group to participate on this call.
POSTED Apr 22,2024
The next call for the CAT CAIS Working Group will be on Wednesday April 24 at 11 am ET. The next call for the CAT Transaction Reporting Working Group will be on Wednesday April 24 at 2 pm ET.
POSTED Apr 22,2024
On Monday May 6th, FIF will hold an event at the offices of OTC Markets (300 Vesey Street, New York, NY 10282). There will be two panels, our first panel of the evening will be “Current Regulatory Challenges for Digital Asset Securities”. On the panel will be Shawn Sloves of Fundamental Interactions, Tom Sullivan of Societe Generale and Dan Zinn of OTC Markets. The panel will be moderated by FIF Advisory Chair, Tom Jordan. The second panel is “Current Implementation Challenges of SEC Rule 605, FINRA Rule 6151 (Rule 606 filings with FINRA), SEC Rule 13f-2 (short position reporting), CAT, and fractional shares on the TRF”. On the panel will be David Emero of n-Tier fs, Tom Hochleutner of Clear Street and Jacki VanMoer of Goldman Sachs. The panel will be moderated by FIF Managing Director, Howard Meyerson.
Registration in the lobby begins at 4:15pm, the speaking engagement will be from 5-6:30 pm with refreshments and networking afterwards from 6:30-8pm. Please note the event capacity is 120, once capacity is reached we will form a waiting list for the event. FIF would like to thank OTC Markets for sponsoring this event. FIF Members can register for free here, if you have any questions you may contact the program office at fifinfo@fif.com.
POSTED Apr 15,2024
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