Skip to main content

Front Office - Comment Letters

For comment letters associated with a major initiative, please go to the relevant working group  page.
Attachment I to FIF Letter to the CAT Plan Participants and FINRA CAT on CAT Reporting for Non-Executable RFQ Responses
POSTED Jun 01, 2023
FIF Letter to the CAT Plan Participants and FINRA CAT on CAT Reporting for Non-Executable RFQ Responses
POSTED Jun 01, 2023
FIF Letter to the SEC on CAT Reporting for Non-Executable RFQ Responses
POSTED Jun 01, 2023
FIF Comment Letter on the SEC Rule Proposal on Disclosure of Order Execution Information
POSTED Mar 31, 2023
FIF Comment Letter on the SEC’s Order Competition Rule Proposal
POSTED Mar 31, 2023
FIF Comment Letter on the SEC Rule Proposal on Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
POSTED Mar 31, 2023
FIF Response Letter to the SEC on the FINRA Rule Filing with the SEC re: Disclosure of Order Routing Information for OTC Equities
POSTED Mar 30, 2023
FIF Supplemental Comment Letter on FINRA Rule Filing with the SEC re: Disclosure of Order Routing Information for OTC Equities
POSTED Feb 03, 2023
Draft Request for Exemption Submitted by FIF to the SEC on CAT Reporting of Port Settings by an Order Sender
POSTED Jan 10, 2023
Draft Request for Exemption Submitted by FIF to the SEC on Linkage of Representative Orders to Customer Orders and Linkage of Order Fulfillments to Representative and Principal Orders
POSTED Jan 10, 2023
Draft Exemption Request Relating to Representative Order Linkage Submitted by FIF to the SEC
POSTED Jan 10, 2023
FIF Comment Letter on FINRA Rule Filing with the SEC re: Disclosure of Order Routing Information for OTC Equities
POSTED Dec 21, 2022
FIF Letter to the SEC on CAT Reporting for Verbal Activity
POSTED Dec 21, 2022
Representative Order Linkage Scenarios Submitted to the SEC
POSTED Jun 27, 2022
FIF Comment Letter on TRACE Amendments to Reduce Timeframe for Reporting Transactions in US Treasuries and to Require Reporting of the Same Time Increment as the Execution System
POSTED Jun 24, 2022
FIF Comment Letter on SEC Buy to Cover Proposal
POSTED Apr 25, 2022
FIF Comment Letter on FINRA Proposed Order Routing Disclosure Requirements for OTC Equity Securities
POSTED Dec 03, 2021
FIF Comment Letter on Short Interest Reporting
POSTED Oct 04, 2021
FIF Comment Letter - CAT CAIS
POSTED Dec 04, 2020
FIF Comments on Reg ATS-N
POSTED Mar 04, 2019