FIA supports efforts to modernize SEC recordkeeping requirements

6 January 2022

FIA has sent a letter to the US Securities and Exchange Commission in support of the agency’s efforts to modernize recordkeeping requirements, and in support of comments filed with the SEC by the Securities Industry and Financial Markets Association on the topic. “Many of FIA’s members are Futures Commission Merchant (“FCM”) registrants with the Commodity Futures Trading Commission,” the letter reads. “Such FCMs may also be dually registered with the SEC or may work closely with affiliated entities that are SEC registrants. Thus, the Proposed Rule is of interest to FIA.”

Read the full text of FIA's letter to the SEC.

  • FIA
  • Recordkeeping and reporting
  • Advocacy