July 17, 2012 - FIF Front Office Meeting Agenda

The agenda for the July Front Office Committee meeting is included below.

Meeting Agenda

  • Consolidated Audit Trail
    • July 11, 2012 – Press Release Announcing CAT Approval (includes Fact Sheet)
    • July 11, 2012 – Webcast of Open Meeting
  • Large Trader Reporting/EBS FAQs
    • FIF Large Trader Reporting – Current Documents
    • Jun 19, 2012: ISG EBS FAQs with Open FIF Questions
    • Jun 14, 2012: Electronic Blue Sheets FAQs *UPDATED*
  • Limit Up-Limit Down – Implementation Date: Feb 4, 2013
    • Jun 28, 2012:  New CTS/CQS Limit Up-Limit Down Price Indicators – UPDATE - Phase I Implementation Date: Feb 4, 2013
    • Jun 13, 2012: UTP Vendor Alert #2012-3 - UTP Message Format Release to Support Limit Up-Limit Down and Market Wide Circuit Breaker Proposals
    • Jun 26, 2012: FIF Limit Up-Limit Down Implementation Tracking (Note: An updated tracking document will be available shortly.)
    • FIF Limit Up-Limit Down WG Relevant Links
  • NYSE Retail Order Program (Bob Airo, NYSE Euronext to provide update)
    • Jul 3, 2012: SR-NYSE-2011-55 – Order Granting Approval to Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date, and Granting Exemptions Pursuant to Rule 612(c) of Regulation NMS – Effective date: Aug 1, 2012
    • May 4, 2012:  SR-NYSEAmex-2011-84, SR-NYSE-2011-55 - Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, Adopting NYSE Rule 107C to Establish a Retail Liquidity Program for NYSE-Listed Securities on a Pilot Basis Until 12 Months From Implementation Date, and Adopting NYSE Amex Rule 107C to Establish a Retail Liquidity Program for NYSE Amex Equities Traded Securities on a Pilot Basis Until 12 Months From Implementation Date – New date: Jul 6, 2012
  • NASDAQ Updates
    • Jun 27, 2012: ETU #2012-22 – Postponed – NASDAQ ACT System Additional Updates to Support FINRA Rule
    • Jun 27, 2012: EVA  #2012-29 - Excessive Messaging Policy – Effective: Jul 2, 2012
  • IIROC Short Sale Amendments
    • FIF-FPL Meeting on IIROC Short Sale Amendments – Jul 11th @ 2 PM ET
    • May 8, 2012: IIROC Short Sale Amendments
  • Options Updates
    • FIF Meeting on EBS/LOPR OTC Options Reporting Issues – July 12 @ 11 AM ET
    • Mini Options
      • Jun 27, 2012: SR-ISE-2012-58 – Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of a Security
      • Jun 26, 2012: SR-NYSEArca-2012-64 – Notice of Filing of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of a Security
    • New Options Exchanges
      • Jul 2, 2012: ISE Files for Second Options Exchange License
      • Jun 26, 2012: #2012-41, SR-BX-2012-030 – BX Options Receives SEC Approval-Launch Date: Jun 29, 2012
      • May 7, 2012: MIAX Options – Sep 2012 (Pending SEC approval)
    • Penny Pilot Update
      • Jun 28, 2012: SR-ISE-2012-57, SR-CBOE-2012-059, SR-NYSEArca-2012-65, SR-BATS-2012-025, SR-PHLX-2012-86, SR-NASDAQ-2012-075, SR-NYSEMKT-2012-12 – Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program Through Dec 31, 2012
  • Additional Updates
    • FINRA Updates
      • Jun 27, 2012: OATS Account Type Code Value of “R” Retired on July 9, 2012 (to Coincide with Rule 2111)
      • Jun 15, 2012: SR-FINRA-2011-058 – Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Amend FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
    • Legal Entity Identifier (LEI)
      • FIF Meeting on LEI Update with DTCC, FIX Protocol and OFR - Jun 26 @ 11 AM ET – webinar recording available
    • Market-Wide Circuit Breakers
      • June 27, 2012:  New CTS/CQS Market-Wide Circuit Breaker Messages and Indicators
      • Jun 13, 2012: UTP Vendor Alert #2012-3 - UTP Message Format Release to Support Limit Up-Limit Down and Market Wide Circuit Breaker Proposals
      • Jun 6, 2012: NASDAQ ERA #2012-6 – Market-Wide Circuit Breaker Changes Approved by the SEC, Effective February 4, 2013
      • Jun 6, 2012: SR-FINRA-2011-054 – Approval of Rule Change to Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
      • Jun 1, 2012: Market-Wide Circuit Breaker Approval Order
  • FIF Monthly Reports
    • Jul 2012 Initiatives Tracker – Sign up for Initiatives Tracking Report Alerts
    • Jul 2012 Milestones Tracker
    • Executive Summary – FIF Market Share and Market Dynamics – Jun 2012
    • FIF Market Share Jun 2012 Report – Sign up for Market Share Report Alerts
    • FIF Market Dynamics Jun 2012 Report – Sign up for Market Dynamics Report Alerts
  • Next Meeting Date: Aug 21 @ 4 PM ET