FIF News

FIF Meets With SEC Staff on Rule 606

FIF was joined by STA and a delegation of industry members at a meeting with SEC Staff on SEC Rule 606 on Thursday, September 12 in Washington, D.C. Takeaways from this meeting will be discussed in the FIF SEC Rule 606 Working Group.  Email the Program Office at if you would like to join the discussions. 

Posted Sep 16, 2019

FIF to meet with SEC Staff on Rule 606

On Wednesday, September 4, the SEC granted the FIF/STA Joint Request to extend the compliance dates of SEC Rule 606(a) and 606(b).  FIF Staff will be joined by STA and a contingent of industry members on Thursday, September 12 to discuss follow-up items pertaining to the current implementation status of the Rule. 

Posted Sep 09, 2019

Save the Date - 2019 Annual FIF Chicago Financial Markets Event

Save the date! FIF will be holding our Annual Chicago Financial Markets Event on October 22nd. The luncheon will take place between 11:15am and 2pm CT.  This year's panel discussion will serve as a preview of options initiatives in 2020 and beyond (i.e. OCC Actionable Identifier initiative, CAT Phase 2b/Phase 2d (options), Exchange Symbology migration).  More details on this event will be available soon.

Posted Sep 09, 2019

New FIF Member - Natixis

FIF welcomes Natixis as our newest member firm. 

Posted Sep 09, 2019

FIF to Issue Call for Participation - Financial Exploitation of Seniors

This week, FIF will be disseminating an a call for participation on a working group that will be formed with the intent of providing FINRA comment on Reg Notice 19-27.  The intent of this working group will be to assess the current rules in place designed to protect seniors from exploitation, and to provide recommendations on potential amendments to the rule as well as to assess any potential systems impacts.

Posted Sep 03, 2019