Sep 20, 2011 - FIF Front Office Meeting Agenda

The updated agenda for the September Front Office meeting is as follows:

Meeting Details
  • When: Tuesday, Sep 20, 2011 @ 4 PM ET
  • Where: FIF, 5 Hanover Sq. FL. 2, New York, NY 10004
  • Dial-In: FIF Bridge: 1-212-812-0859 Passcode: 1031428# 

Meeting Agenda

  • FINRA OATS Update
    • FIF Letter to FINRA on OATS for NMS Testing and Production Concerns
    • FIF OATS for NMS Portal o Sep 12, 2011: Broker OATS Industry Test – September 17, 2011
    • Sep 12, 2011: Floor Broker MPIDs
    • April 2011; Regulatory Notice 11-19 – SEC Approves Consolidated FINRA Rules Governing Books and Records – Effective date: Dec 5, 2011
  • Large Trader Reporting
    • FIF Large Trader Portal, including FIF Large Trader Implementation Tracking Document v3.0 and STA overview
    • EBS Sub-Group: Email fifinfo@fif.com to participate. Next meeting date: Sep 23 @ 11 AM ET
  • Market Access Rule Update
    • Sep 06, 2011: CBOE RG11-105 - SEC Rule 15c3-5 Risk Management Controls for Brokers or Dealers with Market Access Limited Extension of Compliance Date for Floor Brokers
    • 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
  • SEC Seeking Comment on Existing Regulations
    • Sep 06, 2011: SEC to Seek Comment on Review of Existing Regulations – Comment deadline: Oct 6, 2011
    • Sep 06, 2011: Rule Filing – Comments Available
  • FINRA/Exchange Updates
    • FINRA Updates
      • Social Networking 1. Aug 19, 2011: Regulatory Notice 11-39 – Social Media Websites and the Use of Personal Devices for Business Communications 2. Jan 2010: Regulatory Notice 10-06 – Guidance on Blogs and Social Networking Web Sites
      • Rule 5131 1. 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
    • NASDAQ Updates
      • Aug 12, 2011: SR-NASDAQ-2011-105 – Proposed Rule Change to Establish an Acceptable Trade Range for Quotes and Orders Entered on The NASDAQ Options Market
    • NYSE Updates
      • Aug 18, 2011: SR-NYSE-2011-043 – Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting the Text of NYSE Rule 92 and Adopting a New NYSE Rule 5320 that is Substantially the Same as Financial Industry Regulatory Authority Rule 5320 to Prohibit Trading Ahead of Customer Orders with Certain Exceptions (commonly known as the Manning Rule)
  • FIF Monthly Reports
      • Sep 2011 Initiatives Tracker
      • Sep 2011 Milestones Tracker
      • Executive Summary – FIF Market Share and Market Dynamics – August 2011
      • FIF Market Share August 2011 Report
      • FIF Market Dynamics August 2011 Report
  • Upcoming FIF Events
    • Register Now: Mon, Oct 10: FIF Derivatives Event in Chicago. Meeting & Lunch hosted by CME Group
    • Save the Date: Thu, Oct 20: FIF Market Structure 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: October 18 @ 4:00 PM ET