The next call for the FIF Tax Information Reporting Working Group will be on Thursday September 28 at 3 pm ET. The spotlight presenter will be Neil Bromberg of EY, who will discuss Automation and AI in Tax Operations. FIF has also invited the members of the FIF Emerging Technologies Working Group for this call. If you would like to participate on this call and are not a member of either of these Working Groups, please update your FIF profile or contact fifinfo@fif.com.
POSTED Sep 18,2023
On September 6, FIF submitted letters to (i) the CAT Plan Participants and FINRA CAT, and (ii) the SEC on CAT reporting for non-executable RFQ responses. FIF would like to thank the members of the FIF CAT Transaction Reporting Working Group for their contributions in the drafting of these letters.
POSTED Sep 11,2023
On September 7, FIF submitted a letter to FINRA on the recent FINRA rule change that will require firms to publish reports on routing practices for OTC equities. FIF would like to thank the members of the FIF Rule 606 Working Group for their contributions in the drafting of this letter.
POSTED Sep 11,2023
Our Annual Chicago Event hosted by Cboe Global Markets will be taking place on Monday, October 30. Registration in the lobby begins at 3pm CT, the speaking engagement will be from 4-5:30pm CT with refreshments and networking afterwards from 5:30-7pm CT. The panel topics and speakers will be announced in the coming weeks and the registration page will be launched shortly. FIF would like to thank Cboe Global Markets for sponsoring this event. If you have any questions, please contact fifinfo@fif.com.
POSTED Sep 11,2023
FIF has scheduled a call for Tuesday September 12 at 2 pm ET to review (i) a rule change adopted by the SEC on August 23 that will require certain proprietary trading firms that are currently exempt from FINRA membership to become FINRA members, (ii) the August 24 approval of IntelligentCross ATS as a new entrant to the Alternative Display Facility by the SEC’s Division of Trading and Markets, (iii) the SEC’s stay of the approval order on August 25, and (iv) the SEC’s September 1 Order directing the SROs to submit a revised consolidated market data governance plan. FIF has invited members of the Compliance and Surveillance Working Group, the Data and Technology Committee and the Front Office Committee to participate on this call. If you would like to participate on this call and are not a member of any of these groups, please update your FIF profile or contact fifinfo@fif.com.
POSTED Sep 11,2023
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