May 15, 2012 - FIF Front Office Meeting Agenda

The agenda for the May Front Office Committee meeting is included below.
 
Meeting Agenda

  • Large Trader Reporting
    • May 16, 2012: FIF Large Trader Reporting WG - Meeting with ISG
    • May 7, 2012: FIF Large Trader Reporting - Questions to ISG
    • Apr 30, 2012: FIF Questions for SEC on Large Trader Reporting - Open & Reviewed
    • Apr 23, 2012: SEC Large Trader Reporting Delay Announcement – New Dates: Nov 30, 2012 and May 1, 2013
    • Apr 23, 2012: Updated FINRA Blue Sheets FAQs
    • Apr 20, 2012: SEC Large Trader Reporting FAQs
  • FINRA Know Your Customer and Suitability (Susan Crozier, SunGard)
    • Apr 12, 2012: FINRA New Account Application Template
    • May 18, 2011: Regulatory Notice 11-25 – New Implementation Date (Jul 9, 2012) and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
  • Market Volatility
    • Limit Up Limit Down
      • Feb 27, 2012: Extension of time for SEC Action – New Date: May 31, 2012
  • Consolidated Audit Trail
    • Apr 17, 2012: Telephone Conferences with FINRA
    • Other CAT Comment Letters
    • Mar 2, 2012: FIF Letter to the SEC on Consolidated Audit Trail
  • FINRA Short Interest Reporting Rule
    • Apr 27, 2012: SR-FINRA-2012-001 – Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to Amend FINRA Rule 4560 (Short-Interest Reporting)
  • Options
    • Apr 30, 2012: FIF Comment Letter to SEC on Mini-Options Contracts
    • Apr 27, 2012: NYSE Amex/Arca Options - Updated Risk Mitigation Specifications
    • Apr 20, 2012: SR-NYSEAmex-2012-26 - Proposal to Adopt Rules Governing the Listing and Trading of a New Product Known as DORS
    • Apr 18, 2012: SR-ISE-2012-26 – Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of a Security
    • Apr 3, 2012: SR-NYSEArca-2012-26Notice of Filing of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of a Security ("Mini-Options Contracts") and Implementing Rule Text Necessary to Distinguish Mini-Options Contracts from Option Contracts Overlying 100 Shares of a Security ("Standard Contracts")
    • New Options Exchanges
      • May 7, 2012: MIAX Options – Sep 2012 (Pending SEC approval)
      • Mar 27, 2012: NASDAQ OMX BX Options – Jun 2012 (Pending SEC approval)
  • OATS Update
    • Apr 16, 2012: OATS Reporting Technical Specifications New Unmatched Reason Code in test environment April 23, 2012. Production on May 21, 2012
    • Apr 13, 2012: Information Memo 12-12- Rule 5320: Requirement to Report to OATS Information Barriers Pursuant to Rule 5320.02
    • Apr 12, 2012: SR-NYSE-2012-09, SR-NYSEAmex-2012-21 – Approval to Adopt Recent Changes to FINRA Rules 7440 and 7450, and to Adopt Recent Changes to FINRA Rule 5320 by Amending Supplementary Material .02 to NYSE Rule 5320 to Require that Member Organizations Report to the OATS Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Rule 5320
  • Additional Updates
    • Apr 27, 2012: Direct Edge Update: Message Efficiency Incentive Program Postponed Until June 1, 2012  
    • Apr 24, 2012: NYSE Trader Update: Changes to format and content for Crossing Session 2 delayed until Monday May 7th, 2012
    • Apr 17, 2012: New OPRA Binary Formats – Testing begins April 5th.  Production Date:  November 5, 2012
    • Apr 11, 2012: Regulatory Notice 12-19 – FINRA Announces New Electronic Process for Submission of Notice and Information Relating to Distributions Subject to SEC Regulation M – Effective Date: Jun 4, 2012
  • FIF Monthly Reports
    • May 2012 Initiatives TrackerSign up for Initiatives Tracking Report Alerts
    • May 2012 Milestones Tracker
    • Executive Summary – FIF Market Share and Market Dynamics – Apr 2012
    • FIF Market Share Apr 2012 ReportSign up for Market Share Report Alerts
    • FIF Market Dynamics Apr 2012 ReportSign up for Market Dynamics Report Alerts
  • Upcoming FIF Events
    • Jun 19, 2012: FIF Market Structure Lifecycle Event in NY Sponsored by Equinix
  • Next Meeting Date: Jun 20 @ 4 PM ET