SEC Rule 606 and FINRA Rule 6470 Working Group

FIF has renamed the Rule 606 Working Group as the SEC Rule 606 and FINRA Rule 6470 Working Group. The next call for this Working Group will be on Tuesday January 21 at 1 pm ET. Working Group members will update the full Working Group on a call with FINRA relating to the implementation of Rule 6470, including reporting for routes to OTC Link. The Working Group will also discuss a question from an FIF member relating to Rule 606(a) reporting.