Last week on July 8th, FIF hosted an engaging webinar on the SEC’s market access rule (Rule 15c3-5). FIF has received many positive reviews on the webinar and we would like to thank Wayne Aaron, Lillian Tan and Jim Dolan for their participation in the panel discussion. If your firm is a FIF Member and would like a copy of the presentation or webinar recording, please email us at fifinfo@fif.com.
POSTED Jul 12,2021
An FIF Member has raised a question about how to report capacity on a Rule 10b-10 confirmation when a firm routes orders to an ATS and the orders can only execute against orders routed from other desks at the same routing firm. If you would like to participate in a sub-group discussion on this topic, please contact fifinfo@fif.com.
POSTED Jul 12,2021
POSTED Jul 12,2021
On July 8 at 4 pm ET, FIF will host a webinar on the SEC’s market access rule (Rule 15c3-5). This webinar will focus on the rule's practical aspects, setting credit limits, the handling of market orders, the process for overriding limits, challenges of meme stocks, the annual CEO certification, enforcement trends, and more. The panel will include Jim Dolan of Luminex, Lillian Tan of Cantor Fitzgerald, and Wayne Aaron of Vedder Price. The panel discussion will be moderated by Tom Jordan, FIF Advisory Chair. Please register here.
POSTED Jul 06,2021
The Reg SHO Working Group will meet on July 8 at 2 pm ET to discuss a comment letter on FINRA Regulatory Notice 21-19 relating to “Short Interest Position Reporting Enhancements and Other Changes Related to Short Sale Reporting”.
POSTED Jul 06,2021
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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