September 27, 2012 - Front Office Meeting Agenda

Meeting Agenda

  • FINRA Updates (Racquel Russell, FINRA)
    • Sep 04, 2012: SR-FINRA-2012-026 – Order Approving a Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
    • Discussion of Changes to FIX/Best Practices
  • NASDAQ Updates (Michael Blagrund, NASDAQ)
    • Sep 07, 2012: NASDAQ Equity Technical Update #2012-27 - Testing for Technology Enhancements Available (Market Maker Peg Order, etc) Saturday, September 15, 2012
    • Aug 02, 2012: SR-NASDAQ-2012-066 - Approval of Proposed Rule Change To Adopt A New Market Maker Peg Order To Provide Similar Functionality As The Automated Functionality Provided To Market Makers
  • Market Stability
    • Sep 07, 2012: SEC Technology and Trading Roundtable moved to Oct 2nd – Comments Due Oct 23, 2012
    • FIF Market Stability Survey Preview
    • FIF Market Stability WG Update
  • Limit Up-Limit Down
    • Sep 10, 2012: BATS U.S Equities Limit Up-Limit Down FAQ
    • Sep 10, 2012: BATS U.S. Equities Limit Up-Limit Down Update
    • Sep 10, 2012: UTP Vendor Alert #2012-7 – Market-Wide Conference Call Re: UTP Message Format Release on Friday, September 14, 2012
    • Sep 06, 2012: Updated FIF Limit Up-Limit Down WG Implementation Tracking (Updated Tracking Document to be available shortly)
    • Aug 30, 2012: UTP Vendor Alert #2012-6 – Testing Update for Upcoming UTP Data Feed Messages – Effective Date: Oct 1, 2012
    • Jun 13, 2012: UTP Vendor Alert #2012-3 – UTP Message Format Release to Support Limit Up-Limit Down and Market Wide Circuit Breaker Proposals
    • FIF Limit Up-Limit Down WG Update
  • Consolidated Audit Trail
    • Oct 02, 2012: FIF Quarterly Event on Consolidated Audit Trail – Sponsored by Broadridge
    • Oct 01, 2012: CAT SRO/Industry Association Call
    • Sep 19, 2012: Consolidated Audit Trail Industry Call
    • Aug 04, 2012: FIF Rule 613 Consolidated Audit Trail Plan Summary
    • Aug 01, 2012: Consolidated Audit Trail Final Rule – Federal Register Link – Plan Due: Apr 26, 2013
    • FIF CAT WG Update
  • Large Trader Reporting/EBS FAQs
    • Aug 14, 2012: FIF EBS Subgroup Proposal: Primary & Contra Party Identification Fields
    • FIF EBS Subgroup Update
  • Additional FINRA Updates
    • Sep 04, 2012: SR-FINRA-2012-025 - Order Approving Proposed Rule Change, as modified by Amendment No. 1, to Adopt Existing NASD IM-2110-3 as New FINRA Rule 5270 (Front Running of Block Transactions) with Changes in the Consolidated FINRA Rulebook
    • Aug 03, 2012: Regulatory Notice 12-37 – SEC Approves Amended Minimum Quotation Sizes for OTC Equity Securities on a Pilot Basis – Effective Date: Nov 05, 2012
  • NYSE UTP Migration
    • Sep 10, 2012: UTP Industry Test - Saturday, September 15, 2012
    • Aug 23, 2012: NYSE and NYSE MKT UTP Migration – Testing Availability and Pilot Launch Update
    • Aug 13, 2012: Matching Engine Upgrade: Universal Trade Platform (UTP) to replace NYSE Display Book® (DBK)
    • Aug 10, 2012: NYSE Cash Equities Market – Matching Engine Upgrade Universal Trade Platform (UTP) to replace NYSE Display Book® (DBK)
  • Options Updates
    • Mini Options
      • Aug 9, 2012: SR-NYSEArca-2012-64 – Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of a Security – Commission Action Date: Oct 01, 2012
    • NASDAQ
      • Sep 12, 2012: Options Regulatory Alert #2012–8 – NOM Eliminates Market Maker Quote Obligations Before Regular Market Hours – Effective Date: Sep 10, 2012
    • New Options Exchanges
      • Sep 05, 2012: MIAX Testing
      • Aug 15, 2012: Miami International Securities Exchange, LLC (Notice of Filing of Application, as amended, for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934)
      • May 07, 2012: MIAX Options OPRA Notice – Sep 2012 (Pending SEC approval)
      • Aug 09, 2012: ISE TOPAZ - End of 2012 (Pending SEC approval)
  • Additional Updates
    • Aug 22, 2012: IOSCO Consults on the Technological Challenges to Market Surveillance - Comment Deadline: Oct 10, 2012
    • Aug 22, 2012: IOSCO Report: Technological Challenges to Effective Market Surveillance: Issues and Regulatory Tools
    • Oct 2011: IOSCO Report on Regulatory Issues Raised by the Impact of Technological Changes on Market Integrity and Efficiency
  • Upcoming FIF Events
    • Oct 30, 2012: FIF Derivatives Event Hosted by CME Group
  • FIF Monthly Reports
    • Sep 2012 Initiatives Tracker – Sign up for Initiatives Tracking Report Alerts
    • Sep 2012 Milestones Tracker
    • Executive Summary – FIF Market Share and Market Dynamics – Aug 2012
    • FIF Market Share Aug 2012 Report – Sign up for Market Share Report Alerts
    • FIF Market Dynamics Aug 2012 Report – Sign up for Market Dynamics Report Alerts
  • Next Meeting Date: Oct 18 @ 4PM ET