Please join us December 7 from 5:30-8:30pm ET for an in-person joint Holiday Party of FIF and FISD Members. This event will be strictly social and there will be no FIF panel discussion, therefore, there will be a $50 charge for all of those interested in attending. The event will take place at Tavern 29 in midtown Manhattan. This event is for FIF/FISD Members exclusively and there are only 95 spots available, so secure your spot today!

FIF takes COVID-19 very seriously. In keeping with New York City’s “Key to NYC Pass”, the venue will require attendees to provide proof of vaccination onsite. As much as possible, we will be spacing seating so that there is more distance between seats.  FIF/FISD will comply with local and national government rules – and the rules/policies of the venue.  We plan to organize the networking element of this event to create an environment that enables a high degree of individual choice, with both indoor and outdoor space available. 

After registering here, you will be sent to PayPal to pay the $50 entry fee for the event. If you have any questions, please don't hesitate to email us at fifinfo@fif.com

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.

The Rule 606 Working Group will meet on Tuesday, November 23 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.” The Working Group also will discuss supplemental information to be submitted to the SEC relating to options look-through.

The FIF Front Office Committee will meet on Tuesday, November 16 at 11am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.

On December 16, 2020, the Securities and Exchange Commission granted temporary exemptive relief, until July 31, 2023, from the CAT NMS Plan requirement to link representative orders (riskless principal/ customer facilitation orders) to the associated customer orders. Based on requests from multiple FIF members, FIF proposes to submit a request to the regulators to extend the implementation date for this requirement to July 31, 2024. On November 5, 2021, FIF sent a survey to the members of the FIF CAT Tech Specs Working Group requesting that FIF members provide additional detail relating to this issue. FIF requests that members respond to this survey by November 26. All responses are kept anonymous.