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 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:

  • Consolidated Audit Trail (CAT)
  • CAT Customer and Account Information System (CAIS)
  • Regulatory Reporting: TRF, ORF, EBS, Large Options Position Reporting (LOPR), Large Trader Reporting
  • SEC Rule 606 (disclosure of order routing data)
  • SEC Rule 605 (disclosure of order execution data)
  • Short sales / Reg SHO / Short Interest Reporting
  • Fixed Income Initiatives, including TRACE
  • Recent SEC Rule Proposal for Securities Lending Transparency (equities and bonds)
  • Front Office Trading
  • Back Office Processing
  • FINRA Supplement Liquidity Schedule (SLS)
  • ATS Transparency
  • Compliance
  • OFAC, KYC and AML Requirements that Impact Trading
  • DTC, NSCC, FICC and OCC Initiatives
  • Market Data Capacity Planning
  • Market Data Infrastructure Rule
  • Emerging Technologies / Cloud Computing
  • Cybersecurity
  • Tax Information Reporting

To join FIF, please go to

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