Dec 20, 2011 - FIF Front Office Meeting Agenda

Bob Airo of NYSE Euronext will attend the call and go over the NYSE and NYSE Amex New Retail Order Program. The agenda for the December FIF Front Office Committee meeting is as follows:

Meeting Details
  • When: Tuesday, Dec 20, 2011 @ 4 PM ET
  • Where: FIF, 5 Hanover Sq. FL. 2, New York, NY 10004

Meeting Agenda

  • NYSE Updates
    • Oct 25, 2011: NYSE and NYSE Amex Introduce New Retail Order Program (Bob Airo, NYSE Euronext)
  • Large Trader Reporting
    • FIF Large Trader Reporting Portal
    • Dec 13, 2011: Regulatory Notice 11-56 – FINRA and ISG Publish Enhanced EBS Record Layouts
    • Next FIF Large Trader Reporting WG Meeting – Dec 21 @ 10 AM ET
  • Limit Up-Limit Down
    • Nov 18, 2011: Extension of time for SEC Action – New Date: Feb 29, 2012
    • Nov 2, 2011: Exchange Response to Comments on LULD Plan
  • Short Sale Updates
    • Dec 06, 2011: Equity Technical Update #2011-17 – NASDAQ ACT Technology Modifications Delayed Until Jan 30, 2012
    • Nov 15, 2011: Direct Edge Update: Direct Edge Updates FIX Short Sale Order Marking Requirements
  • FINRA Updates
    • Dec 5, 2011: SR-FINRA-2011-052 – Approval of Proposed Rule Change to Adopt NASD Rule 2320 (Best Execution and Interpositioning) and Interpretive Material (“IM”) 2320 as FINRA Rule 5310 in the Consolidated Rulebook
  • Market Volatility
    • Trading Halts in all Stocks Methodology
      • Nov 17, 2011: SR-NYSEAmex-2011-73 – Notice of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility – Dec 30, 2011
    • Single Stock Circuit Breaker
      • Nov 25, 2011: Equity Regulatory Alert #2011-14 – NASDAQ OMX to Exclude Rights and Warrants from the Single Stock Trading Pause Pilot
      • Nov 23, 2011: SR-NYSEAmex-2011-88, SR-BATS-2011-048, SR-BX-2011-079, SR-CHX-2011-32, SR-FINRA-2011-068, SR-ISE-2011-79, SR-NASDAQ-2011-154, SR-NSX-2011-13, SR-NYSE-2011-57, SR-NYSEArca-2011-87, SR-Phlx-2011-158, SR-CBOE-2011-111, SR-C2-2011-036 – Approval of Proposed Rule Change Amending NYSE Amex Equities Rule 80C to Exclude All Rights and Warrants From the Single Stock Circuit Breaker Rule
  • Market Access Rule
    • Nov 30, 2011: Market Access Rule Credit Limits (SEC Rule 15c3-5)
    • Nov 30, 2011: Equity Trader Alert #2011-60 – NASDAQ, BX and PSX Implement Market Access Rule Credit Limits for Routable Orders
    • Nov 30, 2011: Market Access Rule - Regulatory Notice 11-01
    • Nov 7, 2011: BATS Introduces Aggregated Credit Limit Risk Management Support Effective Immediately
  • Options Penny Pilot Updates
    • Dec 15, 2011: SR-CBOE-2011-118 – Penny Pilot Program Extension until Jun 30, 2012
  • BATS Listing
    • CMS Suffix Symbology for Subordinate Issues
  • Additional Updates
    • Nov 21, 2011: OATS Expansion / Phase-Out of OTS
    • Nov 18, 2011: SR-NSCC-2011-10 – Proposed Rule Change to Amend Rules Relating to the Creation of a Service to Provide Post-Trade Information
    • Nov 7, 2011: A#7321 – NSCC Rule Filing SR-NSCC-2011-10– DTCC Trade Risk Pro
  • FIF Monthly Reports 
    • Dec 2011 Initiatives Tracker
    • Dec 2011 Milestones Tracker
    • Executive Summary – FIF Market Share and Market Dynamics – November 2011
    • FIF Market Share November 2011 Report
    • FIF Market Dynamics November 2011 Report
  • Upcoming FIF Events 
    • Feb 28, 2012: FIF Quarterly Event in NY hosted by Thomson Reuters
  • Next Meeting Date: Jan 24 @ 4 PM ET