FIF is excited to announce our next live event, to be hosted by AWS on Tuesday April 8. After opening remarks from AWS, there will be two panels. The first panel will be New SEC Leadership and Regulatory Implementations for 2025 and Beyond. The panelists will be Susan Crozier (Global Head of Regulatory Compliance and Industry Affairs, Securities Processing, FIS), Adrian Griffiths (Head of Market Structure, MEMX), Jonah Platt (Managing Director, US Head of Government & Regulatory Policy, Citadel) and Krista Ryan (Deputy General Counsel, Fidelity). This panel will cover the following topics: extended-hours trading; changes to round lot sizes; odd lots on the tape; access fees and minimum pricing increments; CAT PII and Electronic Blue Sheets; SLATE; short position reporting; Rule 605 amendments; FINRA Rule 6470 (OTC routing reports); fractional shares on the tape; Treasury clearing; TRACE and RTS one-minute reporting and manual trade indicator; and options margin for intra-day trading activity.

The second panel will be Technology Developments in Capital Markets. The panelists will be Andrew Oppenheimer (Head of Business Development, Nasdaq), Shawn Sloves (CEO, Fundamental Interactions), David Taylor (CEO, Exegy), and a representative from AWS. The panel will be moderated by Tom Jordan (CEO, Jordan & Jordan) and cover the following topics: 24-hour trading; volume/capacity/latency; digital/crypto assets; market data in cloud or hybrid; fractional share reporting; and security requirements.

The event will take place at the offices of AWS at 12 West 39^th Street, New York, NY. Registration and networking begins at 4:15 pm ET. The panel discussions will be from 5-6:30 pm ET, with refreshments and networking afterwards from 6:30-8 pm ET. FIF would like to thank AWS for hosting this event. The event is limited to FIF Members and Veteran guests of the Veterans in Financial Markets (VFM). FIF Members can register for free here.

On March 13, FIF submitted to the SEC a draft request for exemption relating to the CAT reporting by a routing firm of port settings applied by a receiving firm on a default basis. FIF would like to thank the members of the CAT Transaction Reporting Working Groups for their contributions in the drafting of this request for exemption.

The Back Office Committee will have its next call on Monday March 17 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.

FIF has scheduled two calls this week for the SLATE Working Group. The first call will be on Tuesday March 18 at 11 am ET; the second call will be Thursday March 20 at 11 am ET. The Working Group will continue its discussion of a draft letter to the SEC and FINRA relating to the implementation of SLATE reporting.

FIF has scheduled a call for the Equity Market Regulations Working Group for Tuesday March 18 at 3 pm ET. The Working Group will discuss issues and questions from FIF members relating to implementation of the SEC’s recent amendments to Regulation NMS.