FIF has created a new SEC Cyber, Reg SCI and Reg S-P Working Group. To join this Working Group, please update your FIF profile or contact fifinfo@fif.com.
POSTED Apr 03,2023
SEC Cyber, Reg SCI and Reg S-P Rule Proposals
FIF has scheduled a call for Tuesday April 11 at 11 am ET to review and discuss the SEC’s recent cyber, Reg SCI and Reg S-P rule proposals. FIF has invited members of the following Working Groups to participate on this call: the Compliance and Surveillance Working Group; the Cybersecurity Working Group; and the newly-formed SEC Cyber, Reg SCI and Reg S-P Working Group. If you are interested in participating on this call and are not a member of any of these Working Groups, please update your FIF profile or contact fifinfo@fif.com.
POSTED Apr 03,2023
FINRA Presentation to FIF Members on 2023 Cyber Priorities
On Thursday April 13 at 11 am ET, Greg Markovich, Senior Director in the FINRA Cyber Enabled Fraud (CEF) Group, will discuss FINRA’s 2023 cyber-related priorities. FIF has invited members of the FIF Cybersecurity Working Group and the FIF Compliance and Surveillance Working Group to participate on this call and will also invite members of the newly-formed SEC Cyber, Reg SCI and Reg S-P Working Group. If you are not a member of any of these Working Groups and would like to participate on this call, please update your FIF profile or contact fifinfo@fif.com.
POSTED Apr 03,2023
StoneX Webinar on Ending of SEC "No-Action" Relief for MiFID II Clients
The SEC “No-Action” relief permitting U.S. brokers to accept cash research payments from MiFID-regulated clients is set to expire on July 3, 2023, leaving many global managers and brokers unsure of the right course of action to take.
On April 5 at 11 am ET FIF member StoneX will host a no-cost virtual webinar designed to update institutional investment professionals on the implications of the SEC’s decision not to extend the SEC “No-Action” relief. The webinar will present viable options / solutions, along with the strengths and weaknesses of each for consideration once the "No-Action” relief expires. The presenters will be Gerald Lins, Special Counsel, Eversheds Sutherland, Michael Mayhew, Chairman, Founder and Global Director of Research, Integrity Research Associates, LLC, and Steven Stone, Partner, Morgan Lewis. If you are interested in attending this webinar, please register directly with StoneX.
In addition to this webinar, if you would be interested in participating with other FIF members in follow-up discussions on this topic, please send a note to fifinfo@fif.com. For April 5 only, the FIF CAIS Working Group will have its weekly call at 10 am ET instead of the usual 11 am timeslot.
POSTED Mar 27,2023
SEC Reg NMS Rule Proposal: Minimum Pricing Increments, Access Fees and Transparency of Better Priced Orders
FIF has scheduled a call for Tuesday March 28 at 10 am ET for FIF members to provide final comments on the draft FIF comment letter on the SEC rule proposal on Regulation NMS: Minimum Pricing Increments, Access Fees and Transparency of Better Priced Orders. FIF has invited members of the SEC Equity Market Proposals Working Group to participate on this call.
POSTED Mar 27,2023