Jan 19, 2011 - FIF Front Office Meeting Agenda

Meeting Details

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

  • 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