FIF Front Office Committee
The FIF Front Office Committee focuses on order management and trading system issues resulting from regulatory changes (FINRA, SROs, SEC) as well as exchange initiatives. As new issues arise, members of this committee are notified to determine their interest in joining an issue-oriented working group. This committee meets periodically to review front office issues and determine when a new issue working group should be formed.
Please see FIF Initiative Tracking for a full list of initiatives that this committee follows.
Chairs: Irene Halpin, JP Morgan; Jess Haberman, Fidessa
Relevant Working Groups
Members of the Front Office Committee actively participate in the following working groups:
FIF/FPL Regulatory ReportingThis working group, comprised of FIF and FIX Protocol Ltd (FPL) members, works together in addressing transparency
initiatives proposed by SEC and FINRA and promotes standardization in trade reporting.
Large Trader
This working group will address implementation issues associated with the SEC Large Trader Reporting Rule 13h‐1.
Consolidated Audit Trail
This working group focuses on the new Rule 613 proposed by the SEC.
Limit Up-Limit Down
This working group will address implementation issues associated with the new “limit up-limit down” mechanism proposed by the SEC, which addresses extraordinary market volatility in the markets.
Please see FIF Initiatives Tracking for a full list of initiatives that this committee follow
FIF Front Office Meeting Agendas
Meeting Materials/Minutes
March 20, 2012 - FIF Front Office Meeting Agenda Posted [2012-03-18]
Meeting Agenda including FIX Protocol, Consolidated Audit Trail, NYSE Retail Order Program and FINRA updates
Meeting Agenda including FIX Protocol, Consolidated Audit Trail, NYSE Retail Order Program and FINRA updates
February 21, 2012 - FIF Front Office Meeting Agenda Posted [2012-02-19]
Meeting Agenda including OATS, NYSE Retail Order Program, Short Sale, Consolidated Audit Trail and FINRA updates
Meeting Agenda including OATS, NYSE Retail Order Program, Short Sale, Consolidated Audit Trail and FINRA updates
January 17, 2012 - FIF Front Office Meeting Agenda Posted [2012-01-13]
Meeting Agenda including OATS, NASDAQ, NYSE, Short Sale, Options Penny Pilot and FINRA updates
Meeting Agenda including OATS, NASDAQ, NYSE, Short Sale, Options Penny Pilot and FINRA updates
December 20, 2011 - FIF Front Office Meeting Agenda Posted [2011-12-18]
Meeting Agenda including Large Trade Reporting, Limit Up-Limit Down, Short Sale, Market Volatility and Options Penny Pilot Updates
Meeting Agenda including Large Trade Reporting, Limit Up-Limit Down, Short Sale, Market Volatility and Options Penny Pilot Updates
November 15, 2011 - FIF Front Office Meeting Agenda Posted [2011-11-07]
Meeting Agenda including Limit Up-Limit Down, FINRA OATS, Market Access Rule, Short Sale, NYSE and FINRA Updates
Meeting Agenda including Limit Up-Limit Down, FINRA OATS, Market Access Rule, Short Sale, NYSE and FINRA Updates
May 17, 2011 - FIF Front Office Meeting Agenda Posted [2011-05-16]
Meeting Agenda including, Market Access, FINRA Rule 5131 Update, FINRA OATS Updates, Limit Up-Limit Down, Stock Circuit Breaker Updates and Short Sale Updates
Meeting Agenda including, Market Access, FINRA Rule 5131 Update, FINRA OATS Updates, Limit Up-Limit Down, Stock Circuit Breaker Updates and Short Sale Updates
Comment Letters
Mar 26, 2012 - FIF Comment Letter to FINRA on Regulatory Notice 12-07 Posted [2012-04-02]
FIF Letter to FINRA on the proposed amendments relating to reporting of OTC trades executed in mixed capacity
FIF Letter to FINRA on the proposed amendments relating to reporting of OTC trades executed in mixed capacity
Mar 2, 2012 - FIF Comment Letter to the SEC on Consolidated Audit Trail Posted [2012-03-02]
FIF Letter to the SEC regarding additional comments on the Consolidated Audit Trail
FIF Letter to the SEC regarding additional comments on the Consolidated Audit Trail
Sep 16, 2011 - FIF Comment Letter to FINRA on OATS Expansion Posted [2011-09-16]
FIF letter to FINRA regarding Testing and Production Concerns on OATS Expansion to NMS Stocks
FIF letter to FINRA regarding Testing and Production Concerns on OATS Expansion to NMS Stocks
Apr 15, 2011 - FIF Comment Letter to SEC on the Market Access Rule Posted [2011-04-18]
FIF Letter to the SEC regarding implementation timing on the Market Access Rule
FIF Letter to the SEC regarding implementation timing on the Market Access Rule
Mar 18, 2011 - FIF Comment Letter to FINRA on Rule 5131 Posted [2011-03-18]
FIF letter to FINRA on implementation issues associated with FINRA Rule 5131 including definition of "commencement of trading", scope of the rule and implementation timing
FIF letter to FINRA on implementation issues associated with FINRA Rule 5131 including definition of "commencement of trading", scope of the rule and implementation timing
Sep 17, 2010 - FIF Comment Letter to the SEC on New OATS Route Report Requirements Posted [2010-09-24]
FIF Letter to the SEC on Addition of Routed Price and Short Sale Exempt Identifier to OATS Route Reports
FIF Letter to the SEC on Addition of Routed Price and Short Sale Exempt Identifier to OATS Route Reports
Sep 17, 2010 - FIF Comment Letter to the SEC on OATS Expansion Posted [2010-09-17]
FIF Letter to the SEC regarding the expansion of OATS to all NMS Securities
FIF Letter to the SEC regarding the expansion of OATS to all NMS Securities
Aug 12, 2010 - FIF Comment Letter to the SEC on Consolidated Audit Trail Posted [2010-08-12]
FIF Letter to the SEC regarding the proposed Consolidated Audit Trail
FIF Letter to the SEC regarding the proposed Consolidated Audit Trail
Jul 26, 2010 - FIF Comment Letter to the SEC on Short Sale Exemptive Relief Posted [2010-07-26]
FIF Letter to the SEC requesting exemptive relief for the facilitation of Customer or Dealer Sell Short Order as Riskless Principal when Firm's position is Net Long
FIF Letter to the SEC requesting exemptive relief for the facilitation of Customer or Dealer Sell Short Order as Riskless Principal when Firm's position is Net Long
Jul 21, 2010 - FIF Letter to SEC on Clearly Erroneous Executions Posted [2010-07-21]
FIF Letter to the SEC regarding Exchanges and FINRA filings on Clearly Erroneous Executions
FIF Letter to the SEC regarding Exchanges and FINRA filings on Clearly Erroneous Executions
Jun 22, 2010 - FIF Letter to SEC on Large Trader Reporting System Posted [2010-06-22]
FIF Letter to SEC regarding the proposed Large Trader Reporting System
FIF Letter to SEC regarding the proposed Large Trader Reporting System
Feb 24, 2010 - FIF Comment Letter to the SEC on Publication of Certain Aggregate Daily Trading Volume Data Posted [2010-02-25]
FIF letter to the SEC regarding the use of a separate MPID for reporting the FINRA member firm's ATS dark pool transactions
FIF letter to the SEC regarding the use of a separate MPID for reporting the FINRA member firm's ATS dark pool transactions
Sep 23, 2009 - FIF Comment Letter II to the SEC on Short Sale Posted [2009-09-24]
FIF Letter to the SEC offering feedback on proposed Short Sale Amendments
FIF Letter to the SEC offering feedback on proposed Short Sale Amendments
June 19, 2009 - FIF Letter to the SEC on Short Sale Posted [2009-06-26]
FIF Letter to the SEC commenting on proposed Short Sale Amendments
FIF Letter to the SEC commenting on proposed Short Sale Amendments
April 24, 2009 - FIF Letter to FINRA and NYSE Euronext on NYSE Regulation Information Memo 09‐13 and FINRA Regulatory Notice 09‐15 Posted [2009-04-27]
FIF Letter to FINRA and NYSE Euronext Providing Feedback on NYSE Regulation Information Memo 09‐13 and FINRA Regulatory Notice 09‐15 Based on Input from FIF Members
FIF Letter to FINRA and NYSE Euronext Providing Feedback on NYSE Regulation Information Memo 09‐13 and FINRA Regulatory Notice 09‐15 Based on Input from FIF Members
February 19, 2009 - FIF Letter to SEC regarding SR–NASDAQ–2008–104 Posted [2009-03-23]
FIF Letter to the SEC regarding implementation issues associated with the NASDAQ sponsored access proposal
FIF Letter to the SEC regarding implementation issues associated with the NASDAQ sponsored access proposal
February 29, 2008 - FIF Letter to SEC regarding SR-FINRA-2007-12 Posted [2008-02-29]
FIF Letter to the SEC regarding the proposal to amend trade reporting rules to require related market center indicator on certain non-tape reports submitted to FINRA
FIF Letter to the SEC regarding the proposal to amend trade reporting rules to require related market center indicator on certain non-tape reports submitted to FINRA
Archive Documents
April 19, 2011 - FIF Front Office Meeting Agenda Posted [2011-04-18]
Meeting Agenda including, Market Volatility, Short Sale Updates, FINRA OATS Updates, Market Access Rule, FINRA Rule 5131 Update and New Options Exchange
Meeting Agenda including, Market Volatility, Short Sale Updates, FINRA OATS Updates, Market Access Rule, FINRA Rule 5131 Update and New Options Exchange
March 15, 2011 - FIF Front Office Meeting Agenda Posted [2011-03-13]
Meeting Agenda including, Short Sale Updates, FINRA Rule 5131, Flash Order Update, Rule 92/Manning and ISE Qualified Contingent Cross
Meeting Agenda including, Short Sale Updates, FINRA Rule 5131, Flash Order Update, Rule 92/Manning and ISE Qualified Contingent Cross
February 15, 2011 - FIF Front Office Meeting Agenda Posted [2011-02-13]
Meeting Agenda including, Market Access Rule, OATS Expansion, FINRA Rule 5131 and Legal Entity Identifier (LEI)
Meeting Agenda including, Market Access Rule, OATS Expansion, FINRA Rule 5131 and Legal Entity Identifier (LEI)
January 18, 2011 - FIF Front Office Meeting Agenda Posted [2011-01-16]
Meeting Agenda including, Short Sale Updates, OATS Expansion, Market Access Rule and Dodd Frank
Meeting Agenda including, Short Sale Updates, OATS Expansion, Market Access Rule and Dodd Frank
August 17, 2010 - FIF Front Office Meeting Agenda Posted [2010-08-16]
Meeting Agenda including Short Sale, Consolidated Audit Trail and FINRA updates
Meeting Agenda including Short Sale, Consolidated Audit Trail and FINRA updates
July 20, 2010 - FIF Front Office Meeting Agenda Posted [2010-07-20]
Meeting Agenda including updates from FINRA, Stock Circuit Breaker, Short Sale and Clearly Erroneous
Meeting Agenda including updates from FINRA, Stock Circuit Breaker, Short Sale and Clearly Erroneous
June 15, 2010 - FIF Front Office Meeting Agenda Posted [2010-06-15]
Meeting Agenda including updates on Large Trader Reporting System, Consolidated Audit Trail, Stock Circuit Breaker and Short Sale
Meeting Agenda including updates on Large Trader Reporting System, Consolidated Audit Trail, Stock Circuit Breaker and Short Sale
January 20, 2009 - Front Office Meeting Posted [2009-03-31]
Meeting materials for the Front Office WG Meeting. Attachment includes mockup of a Reg NMS Report Card
Meeting materials for the Front Office WG Meeting. Attachment includes mockup of a Reg NMS Report Card
April 29, 2008 - Front Office Meeting Posted [2008-04-28]
Meeting materials for the Front Office WG Meeting
Meeting materials for the Front Office WG Meeting
February 26, 2008 - Front Office Meeting Posted [2008-02-26]
Meeting materials for the Front Office WG Meeting
Meeting materials for the Front Office WG Meeting
January 29, 2008 - Front Office / Trade Reporting WG Direction Setting Meeting Posted [2008-01-28]
Meeting materials for Front Office / Trade Reporting WG Direction Setting Meeting
Meeting materials for Front Office / Trade Reporting WG Direction Setting Meeting
fifinfo@fif.com. 212 422 8568
© 2012 FIF. 5 Hanover Square New York, NY. 10004
© 2012 FIF. 5 Hanover Square New York, NY. 10004