FIF to Host Webinars on Best Execution Across Asset Classes

FIF will be hosting two webinars on best execution across asset classes. The first webinar, on Monday, September 27 from 4-5 pm ET, will focus on best execution for equities and options. The second webinar, on Tuesday, September 28 from 4-5 pm ET, will focus on best execution for fixed income and cryptocurrency. Participants on the first panel include Wayne Aaron of the Vedder Price law firm, Brent Arnold of TD Ameritrade, Craig Murray and Nate Pomeroy of Wolverine, Michael Post of BXS, and Peter Weiler of Abel Noser. Participants on the second panel include Constantinos Antoniades, adviser to Liquidnet, Mark Davies of S3, Alan Konevsky of tZERO, Alex Sedgwick of Abel Noser, and Dave Weisberger of CoinRoutes.

POSTED Sep 20,2021

Spotlight Presentation on Recent SEC Fines Relating to PII

On October 12, 2021, Peter Chan and Valerie Mirko of the Baker McKenzie law firm will discuss the recent SEC fines against firms for failure to protect personally identifiable information (PII) of customers. This will be a spotlight presentation during the October Cybersecurity Working Group call. The invite for this presentation will be sent to all members of the FIF Cybersecurity Working Group and the newly-created FIF Compliance Working Group. The invite has not been sent out yet, so if you are interested in participating on this call, please update your profile and add yourself to either the Cybersecurity Working Group or the newly formed Compliance Working Group. Email us at if you have any questions.

POSTED Sep 20,2021

SEC Rule 15c2-11 Amendments (Rule Governing Quotations for OTC Securities)

The upcoming amendments to SEC Rule 15c2-11 provide an exception from the issuer information requirements that allows for the display of an unsolicited customer order where the customer is not an insider or affiliate of the issuer. FIF members that are retail brokers have identified challenges in complying with this exception. FIF has scheduled a call on this topic for today (September 20) at 1pm ET. If you are interested in participating on this call, please send a note to

POSTED Sep 20,2021

Upcoming Spotlight Presentation

Data and Technology Committee: On Wednesday, September 29 at 10am ET, the FIF Data and Technology Committee will be treated to a spotlight presentation from Cboe's Angelo Evangelou who will discuss a new paper from Cboe Global Markets that focuses on Targeted Equity Market Structure Reform and its recommendations in updating certain rules and regulations.

POSTED Sep 20,2021

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