FIF Comments on Reg ATS-N
Following several meetings with the FIF Reg ATS-N Working Group, FIF has submitted a comment letter to the SEC with recommendations that should help facilitate a more efficient and streamlined Reg ATS-N submission process.
FIF submits follow-up comments to the SEC on Amended Rule 606
25 February 2019
FIF submitted a comment letter on February 20th on the challenges and proposed solutions of Amended Rule 606. FIF will hold a follow-up meeting with the Rule 606 Working Group on Wednesday, February 27th. &nbs…
FIF Meets with the SEC on Rule 606
11 February 2019
On Tuesday, February 5, FIF staff along with a contingent of industry stakeholders, met with SEC Trading and Markets Staff on Rule 606 challenges. FIF reviewed Commission feedback from the in-person meeting on a 2/7 working…
FIF to Meet with the SEC on Rule 606
04 February 2019
FIF staff will be joined by a contingent of FIF industry members at meeting with SEC Trading and Markets Staff on Rule 606 challenges. FIF has been meeting weekly with the SEC Rule 606 Working Group to determine the signific…
FIF Meets with Finra on 2019 Regulatory Change
28 January 2019
FIF Staff met with FINRA on Friday, January 25 to discuss FINRA's upcoming regulatory initiatives. Specifically, FIF and FINRA discussed FINRA Rule 4210 (Margin Requirements), TRACE, and FINRA's upcoming termination of…
FIF to Meet with FINRA This Friday
22 January 2019
FIF will be sending representatives later this week to FINRA to discuss upcoming regulatory changes/initiatives for 2019. The meeting will take place this Friday, January 25th.
New Member Firm: Daiwa Capital Markets
14 January 2019
FIF is pleased to announce that Daiwa Capital Markets has joined the FIF Community.
FIF Working Group Participation 2019
07 January 2019
As a new year begins, it is a great time to review your FIF account and make sure you are signed up for all the benefits you are interested in. If it has been a while since you first registered with us, you may not be privy…
FIF Year-End Event Summary - Non-Discretionary Regulatory Initiatives of 2019: How Should My Firm Prepare?
04 January 2019
January 4, 2019
Son-Mi Lee, Senior Regulatory Advisor, FIF; Christopher Bok, Director, FIF
On December 19, 2018, over 150 FIF industry participants representing broker-dealers, vendors, and exchanges joined the ann…
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