FIF offers members insight into front office, back office and market data implementation issues impacting the securities industry. Learn more →

Highlights

FINRA Rule 2232 Amendments (Customer Confirmations)

FINRA Rule 2232 (Customer Confirmations

Please click here to review FIF's comment letter in response to the proposed amendments to FINRA Rule 2232

LULD Implementation Extension

FINRA extends implementation of Rule 6121.01 ('Trading Halts')

FINRA extends the implementation date of the amendment to Rule 6121.01 to October 24, 2016.

FIF Submits CAT Comment Letter to SEC

Consolidated Audit Trail

On July 18, 2016, FIF submitted a Comment Letter on the Consolidated Audit Trail (CAT) on behalf of its member firms.  The text of the letter is available here.

SEC Proposed 600/606 Amendments

SEC Proposed rule 600/606 amendments

The SEC is proposing to amend Rules 600/606. 

August Market Data Capacity Statistics Available

Market Data Capacity Statistics

August Market Data Capacity Statistics Now Available

 

TICK SIZE PILOT

Tick Size Pilot

Links related to Tick Size Pilot Implementation and Testing (including roll-out plans) can be found here.

 

Retail Execution Quality Statistics

The FIF Rule 605/606 Working Group has been working on improving access to execution quality statistics for the retail community.

To participate in this initiative or for additional information, please contact the FIF Program Office

Retail Broker Dealers

See Template for Retail Broker Dealers

Wholesale Market Makers

See Template for Wholesale Market Makers

Top Initiatives

FIF maintains an initiative tracking list including key milestones and status on over 30 of the most relevant and important initiatives in the industry.

Comment Letters

FIF prepares comment letters and discussion documents based on member input that contribute to changes in implementation time frames and methodology. These letters are available to the general public.

View All Comment Letters →