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Front Office - Comment Letters

For comment letters associated with a major initiative, please go to the relevant working group  page.

FIF letter to FINRA on implementation issues associated with FINRA Rule 5131 including definition of "commencement of trading", scope of the rule and implementation timing

POSTED Mar 18, 2011

FIF Letter to the SEC regarding Exchanges and FINRA filings on Clearly Erroneous Executions

POSTED Jul 21, 2010

FIF letter to the SEC regarding the use of a separate MPID for reporting the FINRA member firm's ATS dark pool transactions

POSTED Feb 25, 2010
FIF Letter to FINRA and NYSE Euronext Providing Feedback on NYSE Regulation Information Memo 09‐13 and FINRA Regulatory Notice 09-15 Based on Input from FIF Members
POSTED Apr 27, 2009
 
 

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