Comment Letters

POSTED Aug 12, 2010

FIF Letter to the SEC regarding the proposed Consolidated Audit Trail

POSTED Jul 26, 2010

FIF Letter to the SEC requesting exemptive relief for the facilitation of Customer or Dealer Sell Short Order as Riskless Principal when Firm's position is Net Long

POSTED Jul 21, 2010

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

POSTED Jun 22, 2010

FIF Letter to SEC regarding the proposed Large Trader Reporting System

POSTED Mar 02, 2010
FIF comment letter to the SEC and ISRA Committee regarding 5 character roots and suffix symbology
POSTED Feb 25, 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 07, 2010
FIF Comment Letter to IRS on Proposed Basis Reporting by Securities Brokers and Basis Determination of Stock highlighting implementation issues in absence of final regulations
POSTED Dec 02, 2009
FIF Letter to Treasury on Cost Basis Requirements raising concerns about the January 2011 Implementation Timing
POSTED Nov 14, 2009
FIF Comment Letter to the IRS raising concerns regarding the current Cost Basis implementation date in light of lack of final regulations.
POSTED Nov 06, 2009

FIF Letter to FINRA regarding FINRA Regulatory Notice 09-53, Increased Margin Requirements for Leveraged ETFs and Associated Uncovered Options

 
 

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