Responses to FINRA CAT

On January 19,  FIF submitted responses to FINRA CAT relating to the order receipt and acceptance process. On January 20 FIF submitted comments to FINRA CAT relating to the CAIS Customer and Account Types proposed by the Plan Participants and separately submitted new and open items to FINRA CAT relating to CAIS. On January 22, FIF submitted additional comments and questions to FINRA CAT based on issues raised by FIF Members.