Jan 19, 2011 - FIF Front Office Meeting Agenda

• Date: Tuesday, January 18, 2011 @ 4 PM ET

• Short Sale Updates
• OATS Expansion
  • Jan 11, 2011; OATS Expansion to all NMS Stocks – Effective Date: Jul 11, 2011
  • Jan 11, 2011; Updated OATS Tech Specs Available
  • Nov 12, 2010; SEC approves FINRA proposal to expand OATS to include all NMS stocks
• Market Access Rule
  • Jan 26, 2011; FIF-NASDAQ Market Access Rule Discussion in NY
  • FIF Market Access WG
    • Kick-off Meeting: Jan 20 @ 3:00 PM ET
  • Jan 07, 2011; Equity Regulatory Alert #2011-2 – Update on The NASDAQ Stock Market’s Modified Sponsored Access Rule
  • Nov 03, 2010; Release No. 34-63241 – SEC Adopts New Rule Preventing Unfiltered Market Access
• Dodd-Frank
  • Implementing Dodd-Frank Wall Street Reform and Consumer Protection Act — Upcoming Activity
  • Legal Entity Identifier (LEI)
    • Jan 24, 2011; DTCC-SWIFT Presentation to FIF Members on Legal Entity Identifier (LEI) – Jan 24 @ 11 AM ET
    • Nov 30, 2010; Office of Financial Research; Statement on Legal Entity Identification for Financial Contracts – Comments Due: Jan 31, 2011
• Additional FINRA Updates
  • Dec 15, 2010; 10-62 – SEC Approval and Effective Date for New Consolidated FINRA Rule. Effective Date: Jun 17, 2011
• FIF Monthly Reports
  • Jan 2011 Initiatives Tracking Report
  • Executive Summary – Dec 2010 FIF Market Share and Market Dynamics Reports
  • FIF Market Share Dec 2010 Report
  • FIF Market Dynamics Dec 2010 Report
• FIF/FPL Regulatory Reporting WG
  • Next Meeting Date: Feb 2 @ 3:00 PM ET
• FIF Events
  • Save the Date: Tue, March 22 - FIF Q1 2011 Event, Navigating the Latency Roadmap, sponsored by Thomson Reuters
• Next FIF Front Office Committee Meeting Date: Feb 15 @ 4 PM ET