FIF Front Office July 2011 Meeting Agenda

If you haven’t already, register for the next meeting of the FIF Front Office Committee on Jul 19 @ 4 PM ET by replying to this email and indicate whether you will attend in person.

Meeting Details
  • Date: Tuesday, July 19, 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 Update
    • Jul 11, 2011; Exchange Routing BDs Rescind Trading Agreements (see FIF Market Access Portal)
    • Post Jul 14 feedback o FIF Market Access WG - Next Meeting Date: Aug 3 @ 11 AM ET
  • FINRA OATS Updates
    • Jun 26, 2011; Guidance on Exchange Route Matching, Including the Addition of Exchange Participant ID and Connection ID to Exchange Route Reports
    • Jun 21, 2011; SR-FINRA-2011-029 – Approval of Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements
    • FIF OATS WG Update
  • Exchange/SRO Updates
    • Jun 30, 2011; SR-BATS-2011-009 – Approval to Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Create, on a Six-Month Pilot Basis, a Directed Order Program
    • Jun 27, 2011; SR-FINRA-2011-027 – Proposed Rule Change 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 24, 2011; MR-11-8 – Regulatory Guidance related to Processing of Bona Fide Errors and Trade Corrections
    • Single Stock Circuit Breaker Updates
      • Jun 27, 2011; Equity Regulatory Alert #2011-9 – Single Stock Circuit Breaker Functionality to be Expanded to All Reg NMS Securities: Effective Date: Aug 8, 2011
      • Jun 23, 2011; SR-NYSEAmex-2011-32, SR-BATS-2011-016, SR-BX-2011-025, SR-CHX-2011-09, SR-FINRA-2011-023, SR-ISE-2011-028, SR-NASDAQ-2011-067, SR-NSX-2011-06, SR-NYSE-2011-21, SR-NYSEArca-2011-26, SR-Phlx-2011-64, SR-CBOE-2011-049 – Expansion for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks – Pilot begins on Aug 8, 2011 and ends Aug 11, 2011 or when Limit Up-Limit Down becomes effective
    • Jun 22, 2011; SR-NASDAQ-2011-085 – Approval of Proposed Rule Change to Adopt a Market Order Timer
    • Jun 17, 2011; Regulatory Notice 11-29 – Frequently Asked Questions on Market Orders and Delayed Implementation Date for FINRA Rule 5131(b) and (d)(4) – Effective Date: Sep 26, 2011
    • May 12, 2011; Regulatory Notice 11-24 – SEC Approves Consolidated FINRA Customer Order Protection Rule – Effective Date: Sep 12, 2011
  • Limit Up-Limit Down
    • Jun 22, 2011; FIF Comment Letter to SEC on Limit Up-Limit Down – Additional Comments Available
  • FIF Updates
    • Jun 23, 2011; FIF Comment Letter to SEC on Dodd-Frank Short Sale Reporting Study – Additional Comments Available
    • FIF Monthly Reports
      • Jul 2011 Initiatives Tracker
      • Jul 2011 Milestones Tracker (see attached)
      • Executive Summary – FIF Market Share and Market Dynamics – Jun 2011
      • FIF Market Share Jun 2011 Report
      • FIF Market Dynamics Jun 2011 Report
  • Next Meeting Date: Aug 23 @ 4 PM ET