FIF offers members insight into front office, back office, technology and market data implementation issues impacting the securities industry. Learn more →


New Member Firm:  Jane Street Capital


FIF is pleased to announce that Jane Street Capital has joined the Financial Information Forum Community.

FIF Forms Mark-Up/Mark-Down Working Group

FIF Forms Mark-Up/Mark-Down Working Group

FIF has formed a working group to address various  issues pertaining to the implementation of new Mark-Up/Mark-Down confirmation disclosures required by FINRA and the MSRB.

Fourth Quarter FIF Retail Execution Quality Statistics Now Available

FIF Retail Execution Quality Statistics

Fourth quarter FIF Retail Execution Quality Statistics now available at 

TRACE for Treasuries

TRACE for Treasuries

Effective Monday, July 10, 2017, FINRA member firms will be required to report transactions executed in Treasury securities (Treasuries) to TRACE as per Regulatory Notice 16-39.

December Market Data Capacity Statistics

February Market Data Capacity Statistics

CAT Approved  by the SEC

CAT NMS Plan Approved

The Consolidated Audit Trail was approved on November 15th.  FIF will be holding bi-monthly meetings to cover various implementation concerns.

SEC Proposed 600/606 Amendments

SEC Proposed rule 600/606 amendments

FIF submitted a Comment Letter in response to Rule 600/606 amendments (Disclosure of Handling Information)

Retail Execution Quality Statistics

The FIF Rule 605/606 Working Group has been working on improving access to execution quality statistics for the retail community.

To participate in this initiative or for additional information, please contact the FIF Program Office

Retail Broker Dealers

See Template for Retail Broker Dealers

Wholesale Market Makers

See Template for Wholesale Market Makers

Top Initiatives

FIF maintains an initiative tracking list including key milestones and status on over 30 of the most relevant and important initiatives in the industry.

Comment Letters

FIF prepares comment letters and discussion documents based on member input that contribute to changes in implementation time frames and methodology. These letters are available to the general public.

View All Comment Letters →

FIF Members

View All Members →