October 18, 2012 - Front Office Meeting Agenda

Meeting Agenda

  • NASDAQ Market Maker Peg Order / AQR Discontinuation (Michael Blaugrund, NASDAQ)
    • Oct 09, 2012: Equity Technical Update #2012-31 – Market Maker Peg Orders Available on NASDAQ, AQR to Discontinue End of 2012
    • Oct 08, 2012: Market Maker Peg Order and Discontinuation of Automated Quote Refresh FAQs 
    • Market Maker Peg fact sheet
  • FINRA Stop Limit Order
    • FIF/FPL Regulatory Reporting WG Update (See Attached Updated FIX Protocol Gap Analysis)
      • Next Meeting Date: Friday, Oct 26, 2012 @ 11 AM ET
    • Sep 04, 2012: SR-FINRA-2012-026 – Order Approving a Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
  • Working Group Updates
    • FIF Consolidated Audit Trail
      • FIF CAT WGs Update
      • FIF CAT WG Current Documents
      • October 15, 2012: SRO Hosted Consolidated Audit Trail Industry Event - Presentation now available
    • FIF Limit Up-Limit Down WG
      • Next Meeting Date: Oct 23 @ 2 - 3:30 PM ET
      • Sep 26, 2012: FIF Limit Up-Limit Down WG Implementation Tracking Document
    • FIF Large Trader Reporting WG
      • Oct 24, 2012: FIF Large Trader WG Meeting with SEC
      • Oct 09, 2012: FIF Large Trader WG Relief Request Discussion
      • Sep 28, 2012: ISG Extends Effective Date for New ID Fields
      • FIF EBS Subgroup - Sep 13, 2012 ISG Meeting
    • FIF Market Stability WG
      • Comments on SEC Technology and Trading Roundtable – Comments Due Oct 23
      • Webcast Archive Available
  • FINRA OATS Updates
    • Oct 09, 2012: OATS FAQs Updated (See Q.17)
    • Oct 09, 2012: Information Memo 12-25 – Account Type Indicators: Revised List Effective October 15, 2012 – see also Attachments to Information Memo-12-25.pdf
  • Mini Options
    • Sep 28, 2012: SR-NYSEArca-2012-64; SR-ISE-2012-58 – Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1 to List and Trade Option Contracts Overlying 10 Shares of Certain Securities
  • Additional Updates
    • IIROC Updates
      • Oct 11, 2012: Summary of Comments Received Respecting Proposed Guidance on "Short Sale" and "Short-Marking Exempt" Order Designations
      • Oct 11, 2012: Guidance on "Short Sale" and "Short-Marking Exempt" Order Designations
    • Sep 27, 2012:Equity Technical Update #2012-29 – Additional FINRA/NASDAQ TRF System Updates to Support FINRA Trading Pause Rule; Effective October 23, 2012
    • Aug 27, 2012: SR-BYX-2012-019 – Notice of Filing of Proposed Rule Change to Adopt a Retail Price Improvement Program – Comments Due: Sep 21, 2012
  • Upcoming Events 
    • Oct 30, 2012: FIF Derivatives Event in Chicago – Hosted by CME Group
    • Oct 23, 2012: FIF Exhibiting at FPL Americas Trading Conference
  • FIF Monthly Reports
    • Oct 2012 Initiatives Tracker – Sign up for Initiatives Tracking Report Alerts
    • Oct 2012 Milestones Tracker
    • Executive Summary – FIF Market Share and Market Dynamics – Sep 2012
    • FIF Market Share Sep 2012 Report – Sign up for Market Share Report Alerts
    • FIF Market Dynamics Sep 2012 Report – Sign up for Market Dynamics Report Alerts
  • Next Meeting Date: Nov 20 @ 4 PM ET