News

Customer Account Statements

07 August 2023

FIF has scheduled a call for Thursday August 10 at 11 am ET to continue the discussion of the recent amendments to FINRA Rule 2231 (Customer Account Statements). If you would like to participate on this call and have not pre…

Next Bridge Hydrocarbons Form S-1 Filing

07 August 2023

Next Bridge Hydrocarbons recently filed a Form S-1 registration statement with the SEC to distribute non-transferable subscription rights only to holders who register their Next Bridge common stock directly with the Company'…

Fractional Share or Fractional Bond Received from a Corporate Action

31 July 2023

FIF has scheduled a call for Monday July 31 at 1 pm ET to discuss processing and reporting for a scenario where a customer receives a fractional share or fractional bond as a result of a corporate action, and the fractional…

Additional CAT Transaction Reporting Working Group Call this Week

31 July 2023

FIF has scheduled an additional call this week for the CAT Transaction Reporting Working Group. The call will be on Monday July 31 at 2 pm ET. The agenda for the call will be to review and make final edits to a comment lette…

Reconciliation Process for Section 31 Fees

31 July 2023

FIF has scheduled a call for Tuesday August 1 at 2 pm ET to discuss enhancing the reconciliation process for Section 31 fees, including a proposal to request that FINRA and the other SROs provide clearing firms with a monthl…

Customer Account Statements

31 July 2023

FIF has scheduled a call for Thursday August 3 at 1 pm ET to continue the discussion of the recent amendments to FINRA Rule 2231 (Customer Account Statements). More specifically, the group will discuss new Interpretation .07…

CAT Monthly Update Working Group Call

31 July 2023

The FIF CAT Monthly Update Working Group call for August will be on Thursday August 3 at 2 pm ET. The Working Group will review guidance and updates from the CAT Plan Participants and FINRA CAT on CAT Transaction Reporting a…

Retiring TRF Reporting Requirements that are Duplicative of CAT

31 July 2023

FIF has scheduled a call for Tuesday August 8 at 2 pm ET to review a draft letter to FINRA requesting the retirement of TRF reporting requirements that are duplicative of CAT (for example, regulatory reports to the TRF). If…

Front Office Committee

24 July 2023

The Front Office Committee will have its next call on Tuesday July 25 at 11 am ET to review applicable updates and notices from the SEC, FINRA, FINRA CAT and the equity and option exchanges.

Title

Lorem ipsum dolor sit amet, consectetur adipiscing elit, sed do eiusmod tempor incididunt ut labore et dolore magna aliqua. Ut enim ad minim veniam, quis nostrud exercitation ullamco laboris nisi ut aliquip ex ea commodo consequat.