On July 1 at 11 am (ET), Mark Fitterman and Gavin Meyers of the Baker McKenzie law firm will present on FINRA Regulatory Notice 21-19 relating to “Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”. FIF has invited members of the Reg SHO Working Group and the Back Office Committee to this presentation. If you were not sent an invite and would like to join this presentation, please email the program office at fifinfo@fif.com.
POSTED Jun 21,2021
Please join us for our next FIF webinar which is the “SEC Market Access Rule” that will take place on July 8th at 4pm ET. This webinar will focus on the rule's practical aspects, setting credit limits, the handling of market orders, the process for overriding limits, challenges of meme stocks, the annual CEO certification, enforcement trends, and more. The panel includes Jim Dolan of Luminex, Lillian Tan of Cantor Fitzgerald, Wayne Aaron of Vedder Price and will be moderated by Tom Jordan, FIF Advisory Chair. After registering, you will be prompted to follow a link to Zoom, in order to add the Webinar to your calendar. Please email the Program Office at fifinfo@fif.com if your firm blocks Zoom or if you have any questions. FIF Members may register here.
POSTED Jun 21,2021
The next meeting of the FIF Rule 606 Working Group will be held on June 22 at 3 pm (ET). The Working Group will review a draft letter from FIF to the SEC requesting that the SEC issue updated FAQs on various topics, including options look-through, the Rule 606 definition of customer, and various ATS reporting scenarios.
POSTED Jun 21,2021
The next meeting of the FIF Rule 605 Working Group will be held on June 24 at 2 pm (ET). The Working Group will discuss a request from the SEC to provide feedback on a Rule 605-like execution quality report for options that the SEC is considering.
POSTED Jun 21,2021
FIF has submitted a request to extend the Phase 2d requirement to report tidType in allocation events. FIF will soon be submitting a similar extension request for the reporting of route modification and cancel rejections.
POSTED Jun 21,2021
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Deshalb, im Laufe der Jahre konnten wir einen Ruf als einer der besten unabhängigen Beratern zu bauen. Wir verstehen die Bedeutung der Kunden auf dem richtigen Weg zum Erfolg bringen, und wir sind bereit, mit ihnen der Planung in allen Bereichen zu arbeiten.
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