Comment Letters
POSTED Mar 02, 2010
FIF comment letter to the SEC and ISRA Committee regarding 5 character roots and suffix symbology
POSTED Feb 25, 2010
FIF letter to the SEC regarding the use of a separate MPID for reporting the FINRA member firm's ATS dark pool transactions
POSTED Feb 07, 2010
FIF Comment Letter to IRS on Proposed Basis Reporting by Securities Brokers and Basis Determination of Stock highlighting implementation issues in absence of final regulations
POSTED Dec 02, 2009
FIF Letter to Treasury on Cost Basis Requirements raising concerns about the January 2011 Implementation Timing
POSTED Nov 14, 2009
FIF Comment Letter to the IRS raising concerns regarding the current Cost Basis implementation date in light of lack of final regulations.
POSTED Nov 06, 2009
FIF Letter to FINRA regarding FINRA Regulatory Notice 09-53, Increased Margin Requirements for Leveraged ETFs and Associated Uncovered Options
POSTED Sep 23, 2009
FIF Letter to the SEC offering feedback on proposed Short Sale Amendments
POSTED Aug 05, 2009
FIF letter to ISG on LOPR addressing the implementing issues of dual submission
POSTED Jun 25, 2009
FIF Letter to the SEC commenting on proposed Short Sale Amendments
POSTED May 10, 2009
FIF Letter to the SEC regarding FINRA TRACE Expansion
POSTED Apr 27, 2009
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 Apr 07, 2009
FIF Comment Letter II to the IRS offering additional feedback on IRS Notice 2009-17
POSTED Mar 22, 2009
FIF Letter to the SEC regarding implementation issues associated with the NASDAQ sponsored access proposal
POSTED Mar 01, 2009
FIF Comment Letter to the IRS regarding new cost basis requirements added in section 403 of Energy Improvement and Extension Act of 2008.
POSTED Jan 15, 2009
Zip file includes comment letters from Charles Schwab, J.P. Morgan, TD Ameritrade and UBS
POSTED Nov 30, 2008
OCC Response to FIF Comment Letter to OCC Board of Directors to Address Current OSI Concerns
POSTED Nov 03, 2008
FIF Comment Letter to OCC Board of Directors to Address Current OSI Concerns
POSTED Feb 28, 2008
FIF Letter to the SEC regarding the proposal to amend trade reporting rules to require related market center indicator on certain non-tape reports submitted to FINRA
POSTED Feb 13, 2008
FIF Comment Letter to SEC on Amendment #1 of File No. 4-534 regarding the Proposed National Market System Plan for the Selection and Reservation of Securities Symbols.
POSTED Jan 30, 2008
FIF/SIFMA NASDAQ Symbology Survey Report based on feedback from 45 firms including broker-dealers, service bureaus, market data vendors, exchanges and DTCC