Oct 18, 2011 - FIF Front Office Meeting Agenda

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

Meeting Details

  • When: Tuesday, Oct 18, 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 OATS for NMS Portal
    • Next FIF OATS WG Meeting Date: Oct 19 @ 1 PM ET
  • Large Trader Reporting
    • FIF Large Trader Portal
  • Market Access Rule
    • FIF Market Access WG Meeting with the SEC, FINRA, and CBOE – Nov 3 @ 11:30 AM ET
    • Sep 30, 2011: CBOE RG11-114 – SEC Rule 15c3-5 Risk Management Controls for Brokers or Dealers with Market Access - Compliance Date Reminder
    • Sep 29, 2011: SEC Staff Issues Risk Alert on Master/Sub-Account Risks
  • Market Volatility
    • Limit Up-Limit Down
      • Oct 12, 2011: CTA LULD Notice
      • Sep 27, 2011: Notice of Designation of a Longer Period for Commission Action on the NMS Plan to Address Extraordinary Market Volatility – Nov 28, 2011 o 
    • Trading Halts in all Stocks Methodology
      • Sep 28, 2011: SR-NYSEAmex-2011-73, SR-BATS-2011-038, SR-CHX-2011-30, SR-BX-2011-068, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEArca-2011-68, SR-Phlx-2011-129, SR-CBOE-2011-087, SR-C2-2011-024 – Proposal to Revise the Current Methodology for Determining When to Halt Trading in All Stocks Due to Extraordinary Market Volatility
  • FINRA Updates
    • Sep 20, 2011: Regulatory Notice 11-43 – FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest – Comment Deadline: Oct 21, 2011
    • Trade Reporting
      • Sep 23, 2011: Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
      • Sep 23, 2011: FINRA Reminds Firms of Their Trade Reporting Obligations Relating to Customer Sales of Low-Value OTC Equity Securities
      • Sep 16, 2011: SR-FINRA-2011-051 – Proposed Rule Change Relating to Exemption from Reporting Obligation under Equity Trade Reporting Rules for Certain Alternative Trading Systems
  • Volcker Rule
    • Oct 12, 2011: SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading – Comment Deadline: Jan 13, 2012
    • Oct 11, 2011: Volcker Rule Proposal (Proposed Rulemaking on Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds)
  • NYSE Updates
    • Sep 9, 2011: Information Memo 11-25 – Harmonization Of Rule 92 With FINRA Rule 5320 (Prohibition Against Trading Ahead Of Customer Orders)
  • NASDAQ Updates
    • Sep 21, 2011: Equity Regulatory Alert #2011-13 – FINRA Rule 5131 Amendment Approved by SEC, Effective Monday, September 26, 2011
  • Upcoming FIF Events
    • Registration Closes Oct 18: Thu, Oct 20: FIF Market Structure Event in NY hosted by FTEN, A NASDAQ OMX Company
  • FIF Monthly Reports
    • Oct 2011 Initiatives Tracker
    • Oct 2011 Milestones Tracker
    • Executive Summary – FIF Market Share and Market Dynamics – September 2011
    • FIF Market Share September 2011 Report
    • FIF Market Dynamics September 2011 Report
  • Next Meeting Date: November 15 @ 4 PM ET