On September 22, 2021, members of the FIF Rule 606 Working Group met with SEC Commissioner Roisman and his advisers to discuss the challenges with Rule 606 look-though for options. FIF will be meeting with the SEC Trading and Markets Staff on September 30, 2021 to continue this discussion.
POSTED Sep 27,2021
FIF will be hosting two webinars on best execution across asset classes. The first webinar, on Monday, September 27 from 4-5 pm ET, will focus on best execution for equities and options. The second webinar, on Tuesday, September 28 from 4-5 pm ET, will focus on best execution for fixed income and cryptocurrency. Participants on the first panel include Wayne Aaron of the Vedder Price law firm, Brent Arnold of TD Ameritrade, Craig Murray and Nate Pomeroy of Wolverine, Michael Post of BXS, and Peter Weiler of Abel Noser. Participants on the second panel include Constantinos Antoniades, adviser to Liquidnet, Mark Davies of S3, Alan Konevsky of tZERO, Alex Sedgwick of Abel Noser, and Dave Weisberger of CoinRoutes.
POSTED Sep 20,2021
On October 12, 2021, Peter Chan and Valerie Mirko of the Baker McKenzie law firm will discuss the recent SEC fines against firms for failure to protect personally identifiable information (PII) of customers. This will be a spotlight presentation during the October Cybersecurity Working Group call. The invite for this presentation will be sent to all members of the FIF Cybersecurity Working Group and the newly-created FIF Compliance Working Group. The invite has not been sent out yet, so if you are interested in participating on this call, please update your profile and add yourself to either the Cybersecurity Working Group or the newly formed Compliance Working Group. Email us at fifinfo@fif.com if you have any questions.
POSTED Sep 20,2021
FIF is creating a new Compliance Working Group. To sign up for this new working group, update your profile here.
POSTED Sep 20,2021
The upcoming amendments to SEC Rule 15c2-11 provide an exception from the issuer information requirements that allows for the display of an unsolicited customer order where the customer is not an insider or affiliate of the issuer. FIF members that are retail brokers have identified challenges in complying with this exception. FIF has scheduled a call on this topic for today (September 20) at 1pm ET. If you are interested in participating on this call, please send a note to fifinfo@fif.com.
POSTED Sep 20,2021
Wir bieten unseren Kunden mit nützlichen Informationen und Ratschläge, die sie benötigen, fundierte Entscheidungen zu treffen, ihre Ziele zu erreichen. Ob es sich um die Verwaltung von Kundeninvestitionen oder einen umfassenden Plan für sie zu schaffen und ihre Familie sind unsere zertifizierten Planern gewidmet mit einem außergewöhnlichen Service zu bieten.
Deshalb, im Laufe der Jahre konnten wir einen Ruf als einer der besten unabhängigen Beratern zu bauen. Wir verstehen die Bedeutung der Kunden auf dem richtigen Weg zum Erfolg bringen, und wir sind bereit, mit ihnen der Planung in allen Bereichen zu arbeiten.
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