On January 14, 2026, FIF submitted a letter to the SEC that discusses the need for written interpretive guidance from the SEC relating to the Rule 605 amendments that are scheduled to take effect on August 1, 2026. FIF would like to thank the members of Rule 605 Working Group for their contributions in the drafting of this letter.
POSTED Jan 20,2026
On January 14, 2026, FIF submitted a letter to FINRA relating to SLATE reporting. FIF would like to thank the members of the SLATE Working Group for their contributions in the drafting of this letter.
POSTED Jan 20,2026
The Back Office Committee will have its next call on Tuesday January 20 at 11 am ET to review applicable FICC, DTC, NSCC, SEC, MSRB, OCC, IRS and FINRA updates during the past month.
POSTED Jan 20,2026
FIF has scheduled a call for the TRF / ORF Working Group for Tuesday January 20 at 1 pm ET. The Working Group will discuss implementation of the upcoming changes (scheduled for February 23, 2026) to require the reporting of fractional shares to the TRFs and the dissemination of fractional shares by the SIPs.
POSTED Jan 20,2026
FIF is hosting a webinar for the Compliance and Surveillance Working Group on Trading Risk Controls and Reg SCI. The webinar will be on Tuesday January 20 at 3 pm ET. The moderator will be Erin Clemens of StoneX. The panelists will be Chris Boldt of Interactive Brokers, Doug Craig of Fidessa, Jim Dolan of LeveL Markets, and Charles Sommers of the Sidley Austin law firm. If you would like to submit any questions or topics for the webinar, please send them to fifinfo@fif.com.
POSTED Jan 20,2026
Wir bieten unseren Kunden mit nützlichen Informationen und Ratschläge, die sie benötigen, fundierte Entscheidungen zu treffen, ihre Ziele zu erreichen. Ob es sich um die Verwaltung von Kundeninvestitionen oder einen umfassenden Plan für sie zu schaffen und ihre Familie sind unsere zertifizierten Planern gewidmet mit einem außergewöhnlichen Service zu bieten.
Deshalb, im Laufe der Jahre konnten wir einen Ruf als einer der besten unabhängigen Beratern zu bauen. Wir verstehen die Bedeutung der Kunden auf dem richtigen Weg zum Erfolg bringen, und wir sind bereit, mit ihnen der Planung in allen Bereichen zu arbeiten.
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