FIF News

FIF to Form a Subgroup on FINRA’s Business Continuity Plans

FINRA has recently issued a notice requesting comment on FINRA Rule 4370 (Business Continuity Plans and Emergency Contact Information) as part of their retroactive rule review program.  FIF is forming a subgroup to review FINRA Rule 4370 with the intent submitting several recommendations.  FIF will hold the first meeting on Wednesday, March 13 @ 11:00 am.  If you would like to join this subgroup, please send an email to fifinfo@fif.com

Posted Mar 04, 2019

FIF to Hold CAT Cybersecurity Meeting

FIF will reconvne our CAT Cybersecurity Working Group this Friday at 11am ET.  FIF will review prior feedback provided to ThesysCAT and determine whether there is an opportunity to re-raise cybersecurity-related issues with FINRA.  If you would like to join this subgroup or if you are not sure if you were previously on the distribution list of the group, please email the program office at fifinfo@fif.com 

Posted Mar 04, 2019

FIF Comments on Reg ATS-N

Following several meetings with the FIF Reg ATS-N Working Group, FIF has submitted a comment letter to the SEC with recommendations that should help facilitate a more efficient and streamlined Reg ATS-N submission process.

Posted Mar 04, 2019

FIF to Meet with the Commission on SEC Rule 606

FIF will join STA for a meeting with SEC Division of Trading and Markets Staff on the Options reporting component of SEC Rule 606 on Tuesday, February 26th.  

Posted Feb 25, 2019

FIF submits follow-up comments to the SEC on Amended Rule 606

FIF submitted a comment letter on February 20th on the challenges and proposed solutions of Amended Rule 606. FIF will hold a follow-up meeting with the Rule 606 Working Group on Wednesday, February 27th.  

Posted Feb 25, 2019