FIF - Financial Information Forum

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 has been sent to all members of the FIF Cybersecurity Working Group and the newly-created FIF Compliance Working Group. If you are interested in participating on this call and do not have the invite in your calendar, please update your profile and add yourself to either the Cybersecurity Working Group or the newly formed Compliance Working Group. Email us at fifinfo@fif.com if you have any questions.

POSTED Sep 27,2021

Rule 605 for Options

The SEC staff have advised FIF that the SEC is considering the expansion of Rule 605 to cover options. The SEC staff have requested input from FIF on this topic. The FIF Rule 605 Working Group is working on a set of recommendations relating to Rule 605 for options. The next meeting for this Working Group is scheduled for Tuesday, September 28 at 2pm ET.

POSTED Sep 27,2021

FIF Meeting with SEC Commissioner Roisman on Rule 606 Options Look-Through

On September 22, 2021, members of the FIF Rule 606 Working Group met with SEC Commissioner Roisman and his advisers to discuss the challenges with Rule 606 look-though for options. FIF will be meeting with the SEC Trading and Markets Staff on September 30, 2021 to continue this discussion.

POSTED Sep 27,2021

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Financial Information Forum

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The Financial Information Forum (FIF) addresses the implementation issues that impact the financial technology industry across the order lifecycle.

 

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FIF prepares comment letters and discussion documents based on member input that contribute to changes in implementation time frames and methodology.

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FIF forms topic-oriented working groups to address implementation issues associated with new initiatives.
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