Apr 18, 2012 - FIF Front Office Meeting Agenda

Dave Chapman and Yvonne Huber from FINRA will attend the call and give an update on the recent FINRA Short Sale Trade Reporting FAQs. The updated agenda for the April Front Office Committee meeting is included below.

Meeting Agenda

  • Trade Reporting
    • Mar 9, 2012: FINRA Trade Reporting FAQs *Updated* (Dave Chapman, FINRA)
  • Large Trader Reporting
    • Apr 13, 2012: SEC Large Trader Reporting FAQs
    • Apr 02, 2012: Electronic Blue Sheets FAQ – Employer SIC Code field no longer required
    • Next FIF Large Trader Reporting WG Meeting – Apr 19 @ 1 – 2:30 PM ET
  • Market Volatility
    • Limit Up Limit Down
      • Mar 29, 2012:  SR-BATS-2011-038,SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61,  SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129:  Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility –New Date:  May 31, 2012
      • Feb 27, 2012: Extension of time for SEC Action – New Date: May 31, 2012
  • Consolidated Audit Trail
    • Mar 2, 2012: FIF Letter to the SEC on Consolidated Audit Trail
  • FINRA Updates
    • 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
    • Mar 26, 2012: FIF Comment Letter to FINRA on Regulatory Notice 12-07
    • Mar 7, 2012: SR-FINRA-2012-14:  Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) –Proposed extension of implementation until July 17, 2012.
    • Mar 5, 2012: SR-FINRA-2012-016:  Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow FINRA to Exempt Certain Alternative Trading Systems from the Trade Reporting Obligations Under the Trade Reporting and Compliance Engine ("TRACE") Reporting Rules 
  • Additional Updates
    • Apr 12, 2012: SR-NYSE-2012-09 – Notice of Filing and Immediate Effectiveness of Proposed Rule Change 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 Order Audit Trail System Information Barriers Put Into Place by the Member Organization in Reliance on Supplementary Material .02 to NYSE Rule 5320
    • Apr 10, 2012: Updated Regulation SHO FAQ 2.4(A)
    • Mar 29, 2012: Equity Technical Update 2012-#9 – NASDAQ to Offer Supplemental Order Type Monday, April 2, 2012
    • Mini-Options Contracts
      • Apr 3, 2012: SR-NYSEArca-2012-26 – Notice 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")
      • Mar 27, 2012: SR-ISE-2012-26 – Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of a Security
    • Mar 29, 2012: NYSE Update: Changes to format and content for Crossing Session 2 – Anticipated Rollout – Apr 27, 2012
  • FIF Monthly Reports
    • Apr 2012 Initiatives Tracker – Sign up for Initiatives Tracking Report Alerts
    • Apr 2012 Milestones Tracker
    • Executive Summary – FIF Market Share and Market Dynamics – Mar 2012
    • FIF Market Share Mar 2012 Report – Sign up for Market Share Report Alerts
    • FIF Market Dynamics Mar 2012 Report – Sign up for Market Dynamics Report Alerts
  • Next Meeting Date: May 15 @ 4 PM ET