The Financial Information Forum (FIF) is a necessary and important resource that helps organizations understand new initiatives and develop implementation responses that fulfill regulatory compliance requirements without adding excessive overhead costs. FIF provides a collaborative environment in which members analyze rule requirements, discuss alternative approaches, and recommend practical solutions. FIF is a highly valuable resource for an organization’s management, business analysts, developers, technology support, operations, compliance, legal and marketing personnel.

FIF’s mission:

• Serve as a go-to resource for objective commentary and analysis on industry issues/initiatives
• Engage and inform regulators about the implementation impact of proposed rules/regulations and other market structure changes
• Provide a forum to address open issues relating to the implementation of industry initiatives
• Foster a community of industry professionals with subject matter expertise and the ability to collaborate effectively
• Be recognized as the premier implementation-focused industry association, with cross-industry participation of broker-dealers, exchanges, and vendors

Primary Areas of Focus

FIF focuses on implementation issues impacting:

• Front Office Trading/Compliance
• Back Office Processing
• Data and Technology

We are currently active in:

• Amended SEC Rule 606
• Consolidated Audit Trail (CAT)
• Rule 605 Modernization
• Transaction Fee Pilot
• Retail Execution Quality
• Market Data Capacity Growth
• Trade Reporting: TRF, ORF, OATS, EBS, LOPR, TRACE
• Fixed Income Initiatives: MSRB, FINRA
• Industry BCP Test/Reg SCI
• ATS Transparency/Reg ATS-N
• DTCC Initiatives
• Post-Trade Settlement
• Cost Basis
• Tax Information Reporting
• MSRB Initiatives

To join FIF, please download the FIF Membership Kit. For more information about FIF, current initiatives, or membership details, please visit www.fif.com or call 212-422-8568