The Section 31 Fees subgroup will have its next call on Monday September 15 at 3 pm ET. The subgroup will continue its discussion of enhancing the process for reconciliation of the FINRA Regulatory Transaction Fee. The subgroup will also discuss the handling of residual Section 31 fees. If you would like to participate in this discussion and are not a member of this subgroup, please send a note to fifinfo@fif.com, and we will include you in this discussion.
POSTED Sep 01,2025
The Back Office Committee will have its next call on Thursday September 18 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. The spotlight presenter will be Ian Springle of ICE, who will provide an update on the current status of the ICE Treasury Clearing application.
POSTED Sep 01,2025
We have reached capacity for the FIF Boston event. The live, in-person event will take place on September 2nd from 5-8 pm ET at the Fidelity Investments offices. The event will be co-sponsored by Fidelity Capital Markets and LeveL Markets. The first panel will be titled: Equities, Options, Fixed Income, Technology, and Data in an Atkins Administration. The moderator of this panel will be Ashley Banfield of Fidelity Investments. The panelists for the first panel will be: Steve Miele of LeveL Markets, Adam Nunes of Hudson River Trading, Rich Steiner of Piper Sandler and Joseph Torpey of State Street.
The second panel will be titled: Crypto and 24X Trading- How do Transparency, Quality & Controls Compare to Current Equity Market Structure? The moderator of this panel will be Tom Jordan of Jordan & Jordan. The panelists for the second panel will be: Terrence Dempsey of Fidelity Digital Assets, Ben Floyd of Coinbase, Jeff Mendl of OTC Markets and Venu Palaparthi of DriveWealth.
Please let us know by the end of the day today (8/25) if you would like to be put on a waitlist for this event.
POSTED Aug 25,2025
On August 19, FIF members and FIF participated in meetings with SEC, FINRA and Treasury Department representatives. The topics of discussion included CAT, CAIS, electronic blue sheets, large trader reporting, Rule 605, Rule 606, FINRA Rule 6470, short position reporting, short interest reporting, SLATE, TRF, extended exchange trading hours, and the extension of the TRF hours of operation.
POSTED Aug 25,2025
On August 20, FIF submitted a letter to the SEC relating to implementation of the Rule 605 amendments. FIF would like to thank the members of the Rule 605 Working Group for their contributions in the drafting of this letter.
POSTED Aug 25,2025
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