On April 29, FIF submitted a comment letter to the Securities and Exchange Commission to request that the CAT Operating Committee provide additional information to industry members to assist industry members in evaluating the CAT revised funding model proposal. In response, on March 5, the CAT Operating Committee filed a comment letter with the SEC providing additional information to assist industry members in evaluating the revised funding model proposal.
POSTED May 10,2021
On May 6, a FIF sub-group participated on a call with FINRA CAT to discuss requested relief for industry members from reporting Quote events that are separately reported by an IDQS. The sub-group also requested interpretive guidance relating to the reporting of the unsolicited indicator for Quote events and the reporting of the unpriced side of a Quote. If you are interested in participating in this discussion, please send a note to fifinfo@fif.com, and we will include you in the sub-group.
POSTED May 10,2021
FIF Members have identified a challenge with a recent set of FAQs issued by FINRA (100.8; 313.1-313.4) that impact TRF reporting for Net Asset Value (NAV) trades. If the NAV for an ETF is determined in the evening and the TRF report is submitted the following morning with a T+1 trade date, this presents certain challenges for the institutional customer. FIF has created a sub-group to discuss this issue. If you are interested in participating in this discussion, please send a note to fifinfo@fif.com, and we will include you in the sub-group.
POSTED May 10,2021
On April 29, FIF submitted a comment letter to request that the CAT Operating Committee provide additional information to industry members relating to the CAT revised funding model.
POSTED May 03,2021
FIF members have identified a challenge with the recent set of FAQs issued by FINRA (100.8; 313.1-313.4) that impact TRF reporting for Net Asset Value (NAV) trades. If the NAV for an ETF is determined in the evening and the TRF report is submitted the following morning with a T+1 trade date, this presents certain challenges for the institutional customer.
FIF is creating a sub-group to discuss this issue. If you are interested in participating in this discussion, please send a note to fifinfo@fif.com, and we will include you in the sub-group.
POSTED May 03,2021
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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