The Back Office Committee will have its next call on Tuesday January 21 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month. FIF will review the SEC’s recent rule change to require broker-dealers that exceed a specified average credit threshold to compute the customer reserve requirement on a daily basis. FIF has prepared an outline of the rule change, which will be reviewed during the Working Group call.
POSTED Jan 06,2025
On Tuesday January 21 at 3 pm ET, FIF is hosting a webinar on Trading Risk Controls and Reg SCI. The moderator for the panel will be Erin Clemens of StoneX. The panelists will be William Barbera of the Schulte Roth law firm, Chris Boldt of Interactive Brokers, Jim Dolan of Kezar Trading, and Doug Craig of Fidessa. FIF has invited the members of the Compliance and Surveillance Working Group and the SEC Cyber, Reg SCI and Reg S-P Working Group to participate in this webinar. If you would like to participate on this call and are not a member of either Working Group, please update your FIF profile or contact fifinfo@fif.com.
POSTED Jan 06,2025
FIF has scheduled the next call for the Cybersecurity Working Group for Thursday January 23 at 1 pm ET. Matt Weinberg of the Cybersecurity and Infrastructure Agenda (CISA) will provide an update on current threats to the financial industry. CISA is an agency of the US Department of Homeland Security. The Working Group will also review recent FINRA, FBI and NSA updates relating to cybersecurity.
POSTED Jan 06,2025
FIF has scheduled a call for Thursday January 23 at 3 pm ET to discuss regulatory implementations for 2025 and beyond. FIF has invited the members of the SEC FINRA Regulations Working Group and the Compliance Working Group to participate on this call. If you would like to participate on this call and are not a member of either Working Group, please update your FIF profile or contact fifinfo@fif.com.
POSTED Jan 06,2025
The Front Office Committee will have its next call on Tuesday January 28 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges. Representatives from Blue Ocean ATS will discuss recent and upcoming developments relating to extended-hours trading.
POSTED Jan 06,2025
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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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