FIF - Financial Information Forum

New FOCUS Supplemental Liquidity Schedule from FINRA

An FIF member has questions relating to the Supplemental Liquidity Schedule (SLS) recently adopted by FINRA (see FINRA Regulatory Notice 21-31) and would like to discuss these questions with other FIF members. The SLS takes effect on March 1, 2022. If you are interested in participating in an FIF member discussion on this topic, please send a note to fifinfo@fif.com, and we will include you on the invite for this discussion.

POSTED Nov 01,2021

Rule 606 Working Group

The Rule 606 Working Group will meet on Thursday November 4 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 01,2021

Spotlight Presentation on SPAC Tax Issues

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 I would be happy to forward you an invitation. 

POSTED Nov 01,2021

Additional CAIS Working Group Meeting

Because of the large number of issues that the CAIS Working Group is currently reviewing, FIF has scheduled an additional call for this week on Monday November 1 at 11am ET to continue 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.

POSTED Nov 01,2021

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The Financial Information Forum (FIF) addresses the implementation issues that impact the financial technology industry across the order lifecycle.

 

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