FIF Front Office June 2011 Meeting Agenda

If you haven’t already, register for the next meeting of the FIF Front Office Committee on Jun 21 @ 4 PM ET by replying to this email and indicate whether you will attend in person. 

Meeting Details 
  • Date: Tuesday, June 21, 2011 @ 4 PM ET
  • Location: Jordan & Jordan, 5 Hanover Sq. FL. 2, New York, NY 10004
  • Dial-In Number: 1-212-812-0859
  • Passcode: 1031428#
Meeting Agenda
  • Market Access Rule
    • Jun 03, 2011; SR-NASDAQ-2011-078 – Proposed Rule Change to Modify the Application of NASDAQ Rule 4611(d) to Conform to New SEC Rule 15c-3
    • May 26, 2011; CBOE RG11-065 – New SEC Rule 15c3-5 Risk Management Controls for Brokers or Dealers with Market Access
    • May 16, 2011; NYSE Information Memo 11-13 – New SEC Rule 15c3-5 Governing Supervision Of Market Acces
  • FIF Comment Letter on Dodd-Frank Short Sale Disclosure (revised draft to be distributed prior to the meeting)
  • Limit Up-Limit Down PlanNext 
    • Next FIF Meeting Date: Monday, June 20 @ 1 PM ET
  • FIF Working Group Updates 
    • Options Market Share Methodology WG Update
    • FIF/FPL Regulatory Reporting WG: Next Meeting Date: Jun 22 @ 2 PM ET
    • OATS Expansion WG Update
  • FINRA Updates
    • Jun 09, 2011; SR-FINRA-2011-027 – Proposal to Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities that are Part of a Distribution and to Transfers of Equity Securities to Create or Redeem Instruments such as ADRs and ETFs
    • Jun 03, 2011; Trade Reporting Notice – FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T – Effective Date: Jul 5, 2011
  • FINRA Rule 5131 Update
    • May 18, 2011; SR-FINRA-2011-017 – Approval of a Proposed Rule Change to Amend FINRA Rule 5131 (New Issue Allocations and Distributions)
  • NASDAQ BX Venture Exchange Update
    • BX Venture Market FAQ
  • BATS Listing Updates
    • May 25, 2011; SR-BATS-2011-018 – Proposed Rule Change to Adopt Rules for the Qualification, Listing and Delisting of Companies on the Exchange
  • Next Meeting Date Jul 19 @ 4 PM ET