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FIA Compliance Committee produces Block Trade Fundamentals document

FIA Compliance Committee produces Block Trade Fundamentals document

16 June 2017 1:15pm EDT

FIA’s Compliance Committee has produced a Block Trade Fundamentals document to assist firms in their understanding of Block Trades. The document identifies certain general characteristics and requirements that may govern a firm’s execution of Block Trades, as well as potential good practices in relation to such activities. Market participants are advised to consult specific rules of the relevant exchange and applicable laws and regulations, market participants before facilitating or engaging in Block Trades.

This document is intended for informational purposes only.

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FIA Block Trade Fundamentals.pdf (188.47 KB)

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