Front Office - Comment Letters
For comment letters associated with a major initiative, please go to the relevant working group page.
POSTED May 05, 2015
POSTED Feb 20, 2015
POSTED Jun 13, 2014
POSTED Feb 28, 2014
POSTED Dec 24, 2013
POSTED Nov 12, 2013
POSTED Oct 31, 2013
POSTED Sep 25, 2013
POSTED Aug 09, 2013
POSTED Mar 07, 2013
POSTED Dec 21, 2012
POSTED Mar 26, 2012
FIF Letter to FINRA on the proposed amendments relating to reporting of OTC trades executed in mixed capacity
POSTED Jul 25, 2011
FIF letter to FINRA on implementation issues associated with FINRA Rule 5131 including definition of "commencement of trading", scope of the rule and implementation timing
POSTED Jul 25, 2011
FIF Letter to the SEC regarding Exchanges and FINRA filings on Clearly Erroneous Executions
FIF letter to the SEC regarding the use of a separate MPID for reporting the FINRA member firm's ATS dark pool transactions
FIF Letter to FINRA and NYSE Euronext Providing Feedback on NYSE Regulation Information Memo 09‐13 and FINRA Regulatory Notice 09-15 Based on Input from FIF Members
POSTED Aug 05, 2011
FIF Letter to the SEC regarding implementation issues associated with the NASDAQ sponsored access proposal