Financial Information Forum (FIF)

Jordan & Jordan provides program office support, staffing and leadership for the Financial Information Forum (FIF).

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 mater experitise and 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 605/606 Disclosure
  • Transaction Fee Pilot
  • 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
  • Cost Basis
  • Limit Up-Limit Down  
  • MSRB Initiatives

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