Feb 15, 2011 - FIF Front Office Meeting Agenda

Meeting Details

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

  • 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