Rule 605 and 606 Working Groups

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