Mar 15, 2011 - FIF Front Office Meeting Agenda

• Date: Tuesday, March 15, 2011 @ 4 PM ET

• Short Sale Updates
  • FIF Front Office Market Statistics (see attached)
  • FIF Short Sale Portal
• FINRA Rule 5131
  • FIF Comment Letter (see attached draft)
  • Nov 2010; Regulatory Notice 10-60 - SEC Approves New FINRA Rule to Address Abuses in the Allocation and Distribution of New Issues – Effective Date: May 27, 2011
• FIF OATS WG
  • FIF OATS Expansion Portal
  • Next Meeting Date: Mar 15 @ 10:00 AM ET
• FIF Market Access WG
  • Next Meeting Date: Wed, Mar 30 @ 3:00 PM ET
• FIF/FPL Regulatory Reportin WG
  • Next Meeting Date: Mar 23 @ 3:00 PM ET
• Flash Order Update
  • Feb 25, 2011; Direct Edge CPI Functionality to Cease
• Rule 92/Manning
  • Feb 14, 2011; SR-FINRA-2009-090 – SEC Approval to Adopt FINRA Rule 5320 (Prohibition Against Trading Ahead of Customer Orders) in the Consolidated FINRA Rulebook
• ISE Qualified Contingent Cross
  • Feb 24, 2011; SR-ISE-2010-73 – Order Granting Approval of a Proposed Rule Change to Modify Qualified Contingent Cross Order Rules
  • Aug 28, 2009; SR-ISE-2009-35 – Approval of Proposed Rule Change Relating to Qualified Contingent Cross Orders
• SEC Updates
  • Feb 18, 2011; Recommendations Regarding Regulatory Responses to the Market Events of May 6, 2010
• FIF Monthly Reports
  • Mar 2011 Initiatives Tracking Report
  • Executive Summary – FIF Market Share and Market Dynamics – Feb 2011
  • FIF Market Share Feb 2011 Report
  • FIF Market Dynamics Feb 2011 Report
• FIF Event: Tue, Mar 22, 2011 - Navigating the Latency Roadmap - Meeting and reception hosted by Thomson Reuters
• Next FIF Front Office Committee Meeting Date: Apr 19 @ 4:00 PM ET