Rule 605 and 606 Working Groups

11 March, 2024

FIF has scheduled a call for the FIF Rule 605 and 606 Working Groups for Monday March 11 at 2 pm ET. The Working Groups will review the changes to Rule 605 that the SEC adopted on March 6. The Working Group will also discuss FINRA Regulatory Notice 24-05, which sets a compliance date for the new requirement for FINRA members to file their quarterly Rule 606(a) reports with FINRA.

Eduard Kotlyar