FIF Front Office August 2011 Meeting Agenda

The agenda for the August Front Office meeting is as follows:

Meeting Details
  • Tuesday, Aug 23, 2011 @ 4 PM ET
  • FIF, 5 Hanover Sq. FL. 2, New York, NY 10004
  • FIF Bridge: 1-212-812-0859
  • Passcode: 1031428#

Meeting Agenda

  • Large Trader Reporting
    • Aug 11, 2011: FIF Large Trader Reporting Implementation Tracking v2.1
    • FIF Large Trader Reporting Portal
    • Next Meeting Date: Aug 18 @ 1:00 – 2:30 PM ET
  • FINRA OATS Update
    • Aug 5, 2011: FIF OATS for NMS Implementation Tracking v10.0
    • Aug 1, 2011: FIX Protocol Gap Analysis Proposal - v1.6 (with Assigned Tags/Values)
    • FIF OATS for NMS Portal
    • Next Meeting Date: Sep 13 @ 1 PM ET
  • Market Access Rule Update
    • Aug 16, 2011: SEC Rule 15c3-5 Governing Supervision of Market Access - Additional Limited Extension of Compliance Date for Certain Requirements Applicable to Floor Brokers
    • Aug 15, 2011: Release No. 34-65132 - Order Temporarily Exempting the Floor Broker Operations of Broker-Dealers with Market Access That Handle Orders on a Manual Basis from the Automated Controls Requirement of Rule 15c3-5(c)(1)(ii) and Rule 15c3-5(c)(2) under the Securities Exchange Act of 1934
    • FIF Market Access WG Meetings
      • Fixed Income Focus: Wed, Sep 7 @ 11 AM ET
      • Aggregate Check Focus: Fri, Sep 9 @ 11 AM ET
      • FIF Market Access Portal
  • Limit Up-Limit Down
      • Comments on Limit Up-Limit Down
      • Proposed "Limit Up-Limit Down" NMS Plan
      • Apr 05, 2011; SEC Announces Filing of Limit Up-Limit Down Proposal to Address Extraordinary Market Volatility
  • Exchange/SRO Updates
      • Single Stock Circuit Breaker
        • Aug 10, 2011: SR-NYSE-2011-40, SR-NASDAQ-2011-115, SR-BATS-2011-027 – Expansion of Single Stock Circuit Breaker Pilot until Jan 31, 2012
        • Aug 5, 2011: Regulatory Notice 11-37 – Trading Pause Rule Expanded to All NMS Stocks
        • Jul 27, 2011: NYSE/NYSE Amex Information Memo 11-22, NYSE Arca Regulatory Bulletin 11-5
        • Jul 25, 2011: ERA #2011-10 – OATS Rule 7410 to be Expanded to All Reg NMS Securities
      • Clearly Erroneous Executions
        • Aug 10, 2011: SR-NASDAQ-2011-116, SR-BATS-2011-028 – Amendments to Clearly Erroneous Executions Rule in Light of Changes to the Single Stock Trading Pause Process
        • Aug 9, 2011: SR-NYSE-2011-41, SR-NASDAQ-2011-114, SR-BATS-2011-026 Extension of Clearly Erroneous Executions Pilot until Jan 31, 2012
      • Rule 92/Manning
        • Aug 11, 2011: NYSE-2011-43, NYSEAmex-2011-59, NYSEArca-2011-57 – NYSE, NYSE Amex and NYSE Arca rule filings to harmonize their customer order protection rules with FINRA Rule 5320
        • Jul 12, 2011: SR-NYSEAmex-2011-47 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operative Date of NYSE Amex Equities Rule 92(c)(3) from August 1, 2011 to September 12, 2011
        • May 12, 2011: Regulatory Notice 11-24 – SEC Approves Consolidated FINRA Customer Order Protection Rule – Effective Date: Sep 12, 2011 o BATS Update
        • Jul 25, 2011; SR-BATS-2011-023 – Approval of Proposed Rule Change to Amend BATS Rules in Connection with the Elimination of a Directed Order Program for BATS Options
        • Jul 14, 2011; SR-BATS-2011-018 – Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt Rules for the Qualification, Listing and Delisting of Companies on the Exchange – New Launch Date: Dec 2, 2011
      • NASDAQ Updates
        • Jul 28, 2011; SR-NASDAQ-2011-098 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an "All-or-None" Order Type
      • Jul 29, 2011: Regulatory Notice 11-35 – FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices
      • 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
  • FIF Monthly Reports
      • Aug 2011 Volatility Analysis
      • Aug 2011 Initiatives Tracker
      • Aug 2011 Milestones Tracker o Executive Summary – FIF Market Share and Market Dynamics – July 2011
      • FIF Market Share July 2011 Report
      • FIF Market Dynamics July 2011 Report
  • Upcoming FIF Events
      • Save the Date: Mon, Oct 10: FIF Derivatives Event in Chicago. Meeting & Lunch hosted by CME Group
      • Save the Date: Thu, Oct 20: FIF Event in NY hosted by FTEN, A NASDAQ OMX Company
      • Save the Date: Wed, Dec 7: FIF Year End Event in NY hosted by Bloomberg
  • Next FIF Front Office Committee Meeting Date: Sep 20 @ 4 PM ET