Feb 15, 2011 - FIF Front Office Meeting Agenda

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

• Short Sale Updates
  • FIF Short Sale Portal
    • Feb 11, 2011; Updated NYSE and NYSE Amex Short Sale FAQs
    • Feb 07, 2011; SEC grants NYSE’s request for Exemptive Relief
    • Feb 04, 2011; Sell Short Restriction Industry Testing on 2/12/11 - Test Schedule
    • Feb 02, 2011; Direct Edge Short Sale Circuit Breaker FAQ
    • Jan 31, 2011; NYSE Sell Short Restriction Industry Testing on 2/12/11 and 2/26/11
    • Jan 28, 2011; NASDAQ Data Technical News #2011-3 - Reg SHO Testing Availability
    • Jan 28, 2011; NASDAQ Reg SHO FAQs
    • Jan 25, 2011; SR-BATS-2011-002 and SR-BYX-2011-002 – BATS Proposed Rule Change on Short Sale Price Sliding
    • Jan 25, 2011; SR-CBOE-2011-005 – Approval of Rule Change Related to Short Sale Order Handling
• Market Access Rule
  • FIF Market Access WG Update and next meeting date: Thu, Feb 17 @ 3:00 PM ET
• OATS Expansion
  • FIF OATS for NMS Portal
    • FIF OATS for NMS Implementation Tracking v2
    • Feb 2011; OATS for all NMS Stocks FAQs
  • FIF OATS Implementation WG: Next Meeting Date - Feb 22 @ 10 AM ET
• FINRA Rule 5131
  • 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
• Additional FINRA Updates
  • Rule 92/Manning Update
    • 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
  • Feb 10, 2011; SR-FINRA-2010-055 – Order Disapproving Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices)
• Legal Entity Identifier (LEI)
  • Comment Letters Submitted
    • Jan 31, 2011; Bloomberg
    • Jan 31, 2011; DTCC
    • Jan 31, 2011; GS1
    • Jan 31, 2011; Interactive Data
    • Jan 31, 2011; SIFMA
    • Jan 31, 2011; SWIFT
  • Additional Comment Letters
  • Nov 30, 2010; Office of Financial Research; Statement on Legal Entity Identification for Financial Contracts – Comments Due: Jan 31, 2011
• FIF/FPL Regulatory Reporting WG
  • Next Meeting Date: Wed, Mar 23 @ 3:00 PM ET
• FIF Monthly Reports
  • Feb 2011 Initiatives Tracking Report
  • Executive Summary – FIF Market Share and Market Dynamics – Jan 2011
  • FIF Market Share Jan 2011 Report
  • FIF Market Dynamics Jan 2011 Report
• Upcoming FIF Events: Tue, Mar 22, 2011 - Navigating the Latency Roadmap - Meeting and reception hosted by Thomson Reuters
• Next FIF Front Office Committee Meeting Date: Mar 15 @ 4:00 PM ET