FIF will hold a Reg Best Interest Working Group kick-off meeting on Thursday, October 24 @ 11:00am.  This working group will focus on industry best practices and information sharing with respect to meeting the provisions outlined in the Rule.  As part of this working group, FIF will address identified potential implementation issues, especially those that may impact industry member books and recordkeeping requirements.  If you would like to join this working group, please update your profile here.

The final panelist has been announced for FIFs Annual Chicago Event. Please join us on Tuesday, October 22, 2019 at Cboe Global Markets (400 South LaSalle Street, Chicago) for a luncheon and panel discussion on upcoming options initiatives. The event will begin with a keynote presentation from Manisha Kimmel, Senior Policy Advisor to SEC Chairman Jay Clayton, on the current status of CAT.  The keynote presentation will be followed by a panel discussion focusing on: the OCC Actionable Identifier Initiative, CAT Options Reporting, Options Exchange Initiatives, and OCC Initiatives.  FIF would like to thank Cboe Global Markets for sponsoring this event. Registration will close on Friday, October 18th at 5:00 PM ET. Please register here.

FIF has formed a new working group focued on Reg Best Interest.  The working group will focus on Reg Best Interest implementation considerations, which will include:  books and recordkeeping requirements, application of the Rule's definitional components, Rule analysis, and policy/procedure development.  FIF will hold a kick-off call on Thursday, October 24 @ 11:00am et.  If you would like to participate in this working group, please update your profile here. 

Please join us on Tuesday, October 22, 2019 at Cboe Global Markets (400 South LaSalle Street, Chicago) for a luncheon and panel discussion on upcoming options initiatives. The event will begin with a keynote presentation from Manisha Kimmel, Senior Policy Advisor to SEC Chairman Jay Clayton, on the current status of CAT.  The keynote presentation will be followed by a panel discussion focusing on: the OCC Actionable Identifier Initiative, CAT Options Reporting, Options Exchange Initiatives, and OCC Initiatives.  FIF would like to thank Cboe Global Markets for sponsoring this event. Registration will close on Friday, October 18th at 5:00 PM ET. Please register here.

FIF will be moderating a panel discussion on SEC Rule 606 at the 86th annual STA Market Structure Conference in Washington, D.C. on Friday, October 4.