28 November, 2022
Working Group Update 11/28/2022
28 November, 2022
- FIF Rule 606 Working Group. The Rule 606 Working Group discussed the recent Risk Alert published by the SEC’s Division of Examinations on Observations Related to Regulation NMS Rule 606 Disclosures.
- FIF CAT CAIS Working Group. FIF submitted a letter to FINRA CAT requesting that certain open issues relating to inaccurate CAIS error feedback be escalated to a priority of High.
Eduard Kotlyar