Nov 15, 2011 - FIF Front Office Meeting Agenda

Clare Saperstein of NYSE Euronext will attend the call and go over the exchange response to comments on Limit Up-Limit Down and and Andrea Maglio of NASDAQ will speak on the NASDAQ ACT modifications to support Short Sale Reporting changes via FIX. The agenda for the November FIF Front Office meeting is as follows:

Meeting Details 
  • When: Tuesday, Nov 15, 2011 @ 4 PM ET
  • Where: FIF, 5 Hanover Sq. FL. 2, New York, NY 10004

Meeting Agenda

  • Limit Up-Limit Down
    • Nov 2, 2011: Exchange Response to Comments on LULD Plan (Clare Saperstein, NYSE Euronext)
    • Oct 13, 2011: New CTS/CQS Limit Up-Limit Down Indicators
    • 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
    • Formation of FIF LULD WG
  • Large Trader Reporting
    • FIF Large Trader Portal
    • FIF Large Trader Reporting WG Update
    • Next FIF Large Trader Reporting WG Meeting Date: Nov 16 @ 2:00 – 3:30 PM ET
  • FINRA OATS Update
    • Nov 4, 2011: SR-FINRA-2011-066 – Proposed Rule Change Relating to the Order Audit Trail System Definitions of Index Arbitrage Trade and Program Trade
    • Oct 28, 2011: SR-FINRA-2011-063 – Proposed Rule Change Relating to Amendments to the Order Audit Trail System Rules
    • FIF OATS for NMS Survey – Survey Deadline: November 18
    • FIF OATS for NMS Portal
  • Market Access Rule
    • Nov 7, 2011: BATS Introduces Aggregated Credit Limit Risk Management Support Effective Immediately
    • FIF Market Access WG Meeting with the SEC, FINRA, and CBOE – Nov 3 @ 11:30 AM ET
  • Short Sale Updates
    • Nov 9, 2011: Equity Technical Update #2011-15 – NASDAQ ACT Technology Modifications to Support Short Sale Reporting Changes via FIX – Effective December 12, 2011 (Andrea Maglio, NASDAQ)
  • NYSE Updates 
    • Oct 25, 2011: NYSE and NYSE Amex Introduce New Retail Order Program
  • FINRA Updates
    • Nov 4, 2011: SR-FINRA-2011-051 – Approval of Proposed Rule Change to Allow FINRA to Grant Exemptions from Certain Equity Trade Reporting Obligations for Certain Alternative Trading Systems
    • Oct 20, 2011: SR-FINRA-2011-058 – Proposed Rule Change to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) – Comment Deadline: Nov 10, 2011
  • Volcker Rule
    • Oct 12, 2011: SEC Jointly Proposes Prohibitions and Restrictions on Proprietary Trading – Comment Deadline: Jan 13, 2012
    • Oct 12, 2011: 34-65545 – Prohibitions And Restrictions On Proprietary Trading And Certain Interests In, And Relationships With, Hedge Funds And Private Equity Funds – Comment Deadline: Jan 13, 2012
  • BATS Listings Launch o BATS Listings Site – Launch Date: Dec 2, 2011
    • Nov 2, 2011: Data Technical News #2011-20 – NASDAQ OMX Updates Data Feeds for December 2011 Launch of BATS Listings Market
  • FIF Monthly Reports
    • Oct 2011 Initiatives Tracker
    • Oct 2011 Milestones Tracker
    • Executive Summary – FIF Market Share and Market Dynamics – October 2011
    • FIF Market Share October 2011 Report
    • FIF Market Dynamics October 2011 Report
  • The Increasing Cost of Doing Business: Wed, Dec 7: FIF 2011 Year End Event in NY hosted by Bloomberg
  • Next Meeting Date: Tuesday, December 20 @ 4 PM ET