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 with respect to the implementatation of Rule 606.
POSTED Apr 05,2019
FIF is pleased to announce that D.A. Davidson has joined the FIF Community.
POSTED Apr 05,2019
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 revise tax reporting processes; 2) industry best practices, 3) increasing tax reporting efficiencies; and 4) recommendations/best practices related to tax reporting including:
This working group will be co-chaired by Jean Saladino and Jennifer Kemper of Scivantage. If you are interested in joining this working group, please update your profile here. We will hold our first meeting on Thursday, April 25 @ 11:00 am et.
POSTED Mar 25,2019
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 questions provided by FINRA. FIF will be submitting comments based upon feedback provided by our members. If you would like to join this subgroup, please send us email us at fifinfo@fif.com
POSTED Mar 18,2019
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 Forward, focused on the equity markets of 2018 and what initiatives the Commission will pursue in 2019. A few of the topics discussed included: Market Data Access, Retail Fraud, Thinly-Traded Securities, The Transaction Fee Pilot, and Reg ATS-N. To read a transcript of the discussion, please click here.
POSTED Mar 11,2019
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