Skip to main content

Comment Letters

FIF Request for Limited Phase 2a Relief (OTC Equities)
POSTED Feb 21, 2020
FIF Comments - Proposed Amendments to the CAT NMS Plan
POSTED Oct 30, 2019
FIF Comments on Industry Member Request for Limited Relief on Market Maker Reporting of Certain OTC Quote Activity
POSTED Oct 28, 2019
FIF Comments on Reg Notice 19-27 - Retrospective Review of Rules Intended to Protect Senior Investors
POSTED Oct 08, 2019
FIF Comments on SEC Rule 606 - Disclosure of Order Handling Information
POSTED Aug 02, 2019
FIF Comments on Electronic Blue Sheets
POSTED Jul 18, 2019
FIF Comments on FINRA Rule 4370
POSTED Apr 25, 2019
FIF Comments - Current CAT Implementation Schedule
POSTED Apr 02, 2019
FIF Comments on Reg ATS-N
POSTED Mar 04, 2019
FIF Follow-Up Comments on SEC Rule 606
POSTED Feb 21, 2019
FIF Comments - SEC Rule 605 Modernization Recommendations
POSTED Feb 06, 2019
FIF Comments on CAT Transitional Period
POSTED Feb 06, 2019
FIF Comments on Amended Rule 606
POSTED Jan 31, 2019
FIF Comments on the Current Status of the Consolidated Audit Trail
POSTED Dec 11, 2018
FIF Comments on Reg Notice 18-28 – OTC Equity Trading Volume
POSTED Nov 10, 2018
FIF Comments on Tech Spec V0.6
POSTED Oct 08, 2018
FIF OMS-EMS Study Findings
POSTED Sep 17, 2018
FIF Exemptive Relief Request – 10b-10 Reporting of Orphaned Fractional Shares
POSTED Sep 10, 2018
FIF Comments on Large Trader Rule Phase 3 Compliance Date
POSTED Sep 07, 2018
FIF Comments on Tick Size Pilot Termination Date
POSTED Aug 28, 2018