FIF - Financial Information Forum

FIF Member Survey on Linking Rep Orders to Customer Orders

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, 2021. All responses are kept anonymous.

POSTED Nov 08,2021

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 fifiinfo@fif.com, and we will include you on the invite for this discussion.

POSTED Nov 08,2021

Rule 606 Working Group

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

Back Office Committee

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

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 FIF would be happy to forward you an invite.

POSTED Nov 08,2021

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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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