New Member Firm: BMO Capital Markets
FIF is pleased to announce that BMO Capital Markets has joined the FIF Community.
FIF to Attend Equinix Luncheon on CAT
05 April 2019
FIF will be attending a luncheon/panel discussion hosted by Equinix on Wednesday, April 10. The event will focus on the Consolidated Audit Trail, including data privacy issues, industry best practices, IT infrastructur…
FIF to Meet with the SEC on Rule 606
05 April 2019
FIF will be joined with a contingent of member firm representatives at an in-person meet with SEC Division of Trading and Markets Staff on Rule 606 on Thursday, April 11th. FIF will discuss several remaining challenges…
New Member Firm: D.A. Davidson
05 April 2019
FIF is pleased to announce that D.A. Davidson has joined the FIF Community.
FIF Forms New Working Group on Tax Information Reporting
25 March 2019
FIF is forming a Tax Information Reporting Working Group. The purpose of the working group will be to discuss recommendations and process improvements related to: 1) leveraging new and evolving technology to revi…
FIF Holds First Meeting on FINRA Rule 4370
18 March 2019
FIF held its first meeting on FINRA Rule 4370 (BCP) last Wednesday. FIF briefly reviewed FINRA’s request for comment on FINRA Rule 4370 and began to elicit feedback and comments focused on the eight discussion que…
FIF Attends an Event on US Equities Markets
11 March 2019
This past week, FIF representatives attended talks with SEC Chairman Jay Clayton and Markets Director Brett Redfearn at Fordham University. The event, aptly named: U.S. Equity Markets: Looking Back and Moving Forw…
FIF to Form a Subgroup on FINRA’s Business Continuity Plans
04 March 2019
FINRA has recently issued a notice requesting comment on FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information) as part of their retroactive rule review program. FIF is forming a subgroup to revi…
FIF to Hold CAT Cybersecurity Meeting
04 March 2019
FIF will reconvne our CAT Cybersecurity Working Group this Friday at 11am ET. FIF will review prior feedback provided to ThesysCAT and determine whether there is an opportunity to re-raise cybersecurity-related issues…
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