FIF News

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

FIF Meets with the SEC on Rule 606

On Tuesday, February 5, FIF staff along with a contingent of industry stakeholders, met with SEC Trading and Markets Staff on Rule 606 challenges. FIF reviewed Commission feedback from the in-person meeting on a 2/7 working group call.  If you were not able to join that call and would like more information on the discussion/follow-up items stemming out of the meeting with the SEC, please send an email to fifinfo@fif.com.   FIF sent comments to the Commission prior to the meeting on January 30, please find those comments here.

Posted Feb 11, 2019

FIF to Meet with the SEC on Rule 606

FIF staff will be joined by a contingent of FIF industry members at meeting with SEC Trading and Markets Staff on Rule 606 challenges. FIF has been meeting weekly with the SEC Rule 606 Working Group to determine the significant challenges as well as propose a several recomendations.  FIF sent comments to the Commission on January 30, please find those comments here.

Posted Feb 04, 2019

FIF Meets with Finra on 2019 Regulatory Change

FIF Staff met with FINRA on Friday, January 25 to discuss FINRA's upcoming regulatory initiatives.  Specifically, FIF and FINRA discussed FINRA Rule 4210 (Margin Requirements), TRACE, and FINRA's upcoming termination of the CTCI (Computer-to-Computer Interface).  If you have any questions pertaining to any of the above initiatives, please send an email to fifinfo@fif.com

Posted Jan 28, 2019