FIF News


FIF is pleased to announce that CLSA Americas, LLC has joined the FIF Community.

Posted Aug 05, 2019

FIF/STA Joint 606 Letter

FIF and STA submitted a joint letter to the SEC on Amended SEC Rule 606 implementation challenges, current timelines, and recommendations. If you are not part of the Rule 606 working group and would like to review the letter, please send an email to and we will be happy to send you a copy.

Posted Aug 05, 2019


FIF is collecting questions on the CAT Technical Specification and Scenarios document for including in subsequent FINRA CAT – sponsored Q&A sessions.  If you would like to submit questions on behalf of your firm, please send an email to

Posted Jul 29, 2019

FIF SEC Rule 606 Follow-Up Comment Letter

FIF is in the process of completing a comment letter to Commission Staff on the current status and recommendations pertaining to the implementation of SEC Rule 606. If you are not part of this working group and are interested in reviewing a copy of the letter, please send an email to the program office at

Posted Jul 29, 2019

FINRA to Join Front Office Committee Meeting

FINRA will be joining the FIF Front Office Committee on Tuesday, July 23 @ 4:00pm to provide a spotlight topic on the recently published joint SEC/FINRA statement on Broker-Dealer custody of digital asset securities.  If you are not a member of the Front Office Committee and would like to join, please send an email to


Posted Jul 22, 2019