On Tuesday June 1 at 11 am ET the Rule 606 Working Group will discuss issues and questions raised by FIF Members relating to orders sent directly to an ATS, ATS matching with a single market maker, Rule 606(b)(3) requests from sub-accounts, and look through for Rule 606(a) options reporting.
POSTED May 31,2021
POSTED May 24,2021
On May 21, FIF submitted an additional comment letter on the CAT Operating Committee’s Revised Funding Model proposal. The comment letter requests that the CAT Operating Committee provide additional information to assist industry members in evaluating the proposal.
POSTED May 24,2021
The next meeting of the Front Office Committee will be held on May 25 at 11 am ET. The Committee will review recent rule filings and other notifications by the SEC, FINRA, the exchanges and other SROs.
POSTED May 24,2021
The next meeting of the FIF Rule 605 Working Group will be held on May 25 at 2 pm (ET). The Working Group will review responses from FIF Members to a recent FIF survey about various Rule 605-related proposals. The Working Group also will discuss the recent GameStop hearing, including statements by SEC Chairman Gary Gensler and FINRA CEO Robert Cook.
POSTED May 24,2021
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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