Apr 19, 2011 - FIF Front Office Meeting Agenda

Meeting Details

  • Date: Tuesday, Apr 19, 2011 @ 4 PM ET
Meeting Agenda

  • Market Volatility
    • Limit Up-Limit Down (Clare Saperstein, NYSE)
      • Apr 05, 2011; SEC Announces Filing of Limit Up-Limit Down Proposal to Address Extraordinary Market Volatility
      • Proposed "Limit Up-Limit Down" NMS Plan
      • Cover Letter to Proposed "Limit Up-Limit Down" NMS Plan
    • Single Stock Circuit Breaker Pilot Extension to Aug 11, 2011
      • Apr 04, 2011; SR-BX-2011-018, SR-FINRA-2011-015, SR-ISE-2011-17, SR-NASDAQ-2011-042, SR-Phlx-2011-44, SR-FINRA-2011-015
    • NASDAQ Volatility Guard
      • Mar 15, 2011; Equity Trader Alert #2011-18 – NASDAQ Volatility Guard to Launch Monday, May 16, 2011
      • Mar 14, 2011; NASDAQ Volatility Guard FAQs
    • Clearly Erroneous Transactions – Extension of Pilot to Aug 11, 2011
      • Mar 30, 2011; SR-FINRA-2011-014, SR-NASDAQ-2011-043
  • Short Sale Updates
    • FIF Reg SHO Price Test Tracker *NEW*
    • Mar 28, 2011; SR-NYSE-2011-11 – Approval of Proposed Rule Change Amending NYSE Rule 440B
  • FINRA OATS Updates
    • FIF OATS Portal Updates
      • Apr 04, 2011: 3/31 FINRA Meeting Notes
      • Mar 18, 2011: Rejection Processing Enhancements
      • Mar 17, 2011: Updated Technical Specifications reflect additional validation enhancements
      • Mar14, 2011: FIF OATS for NMS Implementation Tracking v5.0
  • Market Access Rule
    • Apr 15, 2011; FIF Market Access WG Letter to the SEC
  • FINRA Rule 5131 Update
    • Mar 18, 2011; FIF Comment Letter to FINRA on 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
  • New Options Exchange
    • Mar 29, 2011; SR-NYSEAmex-2011-18 – Notice of Filing of Proposed Rule Change Relating to the Formation of a Joint Venture Between the Exchange, Its Ultimate Parent NYSE Euronext, and Seven Other Entities to Operate an Electronic Trading Facility for Options Contracts
  • NYSE Updates
    • Mar 08, 2011; Expanded Activity ID Notice
  • Qualified Contingent Cross
    • Mar 17, 2011; SR-NYSEAmex-2011-14, SR-NYSEArca-2011-09 – Approval of Proposed Rule Change Adopting Rules Related to Qualified Contingent Cross Orders
  • Upcoming FIF Meetings
    • FIF/FPL Regulatory Reporting WG
      • Next Meeting Date: May 11 @ 1 PM ET
  • FIF Monthly Reports
    • Apr 2011 Initiatives Tracking Report
    • Executive Summary – FIF Market Share and Market Dynamics – Mar 2011
    • FIF Market Share Mar 2011 Report
    • FIF Market Dynamics Mar 2011 Report
  • Next FIF Front Office Committee Meeting Date: May 17 @ 4 PM ET