The Rule 606 Working Group will meet on Thursday, November 11 at 11am ET to continue its discussion of a draft comment letter on FINRA Regulatory Notice 21-35, “FINRA Requests Comment on Proposed Order Routing Disclosure Requirements for OTC Equity Securities and Potential Steps to Facilitate Investor Access to Current Order Routing Disclosures for NMS Securities.”
POSTED Nov 08,2021
The FIF Back Office Committee will meet on Tuesday, November 9 at 11am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
POSTED Nov 08,2021
On Thursday, November 18 at 3pm ET, the FIF Tax Information Reporting Working Group will meet for a spotlight presentation from Wolters Kluwer on SPAC tax issues. Stevie Conlon, Cynthia Lapins and Robert Schwaba will be the presenters. If you are not subscribed to this group and would like to listen in, email fifinfo@fif.com, and FIF would be happy to forward you an invite.
POSTED Nov 08,2021
The CAIS Working Group will meet on Monday, November 8 at 11am ET to complete the Working Group’s review of the most recent updates to the CAIS Reporting Scenarios. This call is in addition to the standing Wednesday and Friday CAIS Working Group calls for this week.
POSTED Nov 08,2021
Join us Thursday, November 11 at 4:15pm ET for part seven of our webinar series on the implementation considerations of the SEC Market Data Infrastructure Rule. Tom Jordan, FIF Advisory Chair, and Manisha Kimmel, Chief Policy Officer at MayStreet, will discuss the November 5th filing of the Plan Amendment by the SROs. The agenda will include a summary of the amendment, status of governance changes, potential next steps and audience participation. In order to attend this webinar, please register here. If you have any questions, please email us at fifinfo@fif.com.
POSTED Nov 01,2021
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