FIF has scheduled a call for the Compliance and Surveillance Working Group for Tuesday July 11 at 2 pm ET to discuss expanded surveillance by FINRA based on CAT data. FINRA representatives have noted to FIF members that FINRA is enhancing its surveillance routines based on CAT data. FIF members will discuss expanded surveillance by FINRA and potential steps industry members could take to enhance their internal surveillance in response to FINRA’s enhanced surveillance.
POSTED Jun 26,2023
On Thursday June 29 at 5 pm, FIF will hold an in-person event at the offices of OTC Markets (300 Vesey Street, New York, NY 10282). There will be two panels, with one focusing on the SEC rule proposal to amend the Rule 3b-16 definition of an exchange and the other focusing on digital assets regulation. The panels will be moderated by FIF Advisory Chair, Tom Jordan. The panelists for the Rule 3b-16 panel will include Robert Laorno of the Intercontinental Exchange (ICE) and Gary Stone of Bloomberg. The panelists for the digital assets regulation panel will be Brian Mulcahy of StoneX Digital, John Palmer of Cboe Digital, Jeanine Hightower-Sellitto of EDX Markets, and Dan Zinn of OTC Markets. This event is free to attend for all FIF members. If you would like to attend, please register here.
POSTED Jun 20,2023
FIF has scheduled the next call for the Rule 605 Working Group for Tuesday June 20 at 2 pm ET. The Working Group will review and discuss a revised draft supplemental FIF comment letter on the SEC’s rule proposal on Disclosure of Order Execution Information.
POSTED Jun 20,2023
The Back Office Committee will have its next call on Thursday June 22 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
POSTED Jun 20,2023
On June 15, FIF submitted a letter to the SEC and the CAT Operating Committee on the need for the retirement of legacy reporting systems and rules, including EBS and large trader reporting, that are duplicative of CAT.
POSTED Jun 20,2023
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