November 20, 2012 - Front Office Meeting Agenda

Meeting Agenda

  • Superstorm Sandy - Lessons Learned
  • FINRA Stop Orders
    • Nov 02, 2012: Regulatory Notice 12-50 - SEC Approves Amendments Relating to Stop Orders – Effective Date: Jan 21, 2013
    • FIF/FPL Regulatory Reporting WG Update
    • 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 Market Stability WG
      • Nov 1, 2012: FIF Comment Letter to SEC on Trading and Technology Roundtable
    • FIF Consolidated Audit Trail WG
      • Nov 06, 2012: FIF CAT WG - OATS Issues / CAT Functionality Discussion Document
      • Oct 26, 2012: Intra-Firm Linkage Discussion Document
      • Oct 26, 2012: Retail Customer ID Discussion Document
      • Oct 26, 2012: FIF CAT WG - Discussion Document
    • FIF Limit Up-Limit Down WG
      • Nov 12, 2012: FIF LULD Relevant Links Portal Updated with Exchange Industry Testing Announcements
      • Nov 8, 2012: FIF Limit Up-Limit Down WG Implementation Tracking Document
      • Next FIF LULD WG Meeting Date: Nov 27 @ 1 – 2:30 PM ET
    • FIF Large Trader WG
      • Nov 06, 2012: FIF Large Trader WG Relief Requests from SEC Perspective
      • Oct 31, 2012: Regulatory Notice 12-47 – FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
      • Oct 24, 2012: Meeting Materials for SEC Meeting
      • Oct 24, 2012: FIF Large Trader Reporting WG Representatives Meeting with the SEC - Meeting Notes
      • Oct 19, 2012: Large Trader Reporting Clearing Issues Discussion Document
  • NASDAQ Market Maker Peg Order / AQR Discontinuation
    • 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 Rule 5131 Implementation Issues - Late notice of IPO's, e.g. WHLR
  • Additional Updates
    • FINRA Updates
      • Nov 02, 2012: Regulatory Notice 12-51 – FINRA Changes the Effective Date of the Minimum Quotation Size Pilot for OTC Equity Securities in FINRA Rule 6433 from Nov 5, 2012, to Nov 12, 2012
    • IIROC Updates
      • Oct 25, 2012: 12-0316 – Proposed Guidance Respecting Third-Party Electronic Access to Marketplaces – Comments Due: Jan 23, 2013
      • Oct 25, 2012: 12-0315 – Proposed Provisions Respecting Third-Party Electronic Access to Marketplaces – Comments Due: Jan 23, 2013
  • FIF Monthly Reports
    • Nov 2012 Initiatives Tracker – Sign up for Initiatives Tracking Report Alerts
    • Nov 2012 Milestones Tracker
    • Executive Summary – FIF Market Share and Market Dynamics – Oct 2012
    • FIF Market Share Oct 2012 Report – Sign up for Market Share Report Alerts
    • FIF Market Dynamics Oct 2012 Report – Sign up for Market Dynamics Report Alerts
  • Oct 30, 2012: FIF Derivatives Event – Speaker Presentation available
  • Next Meeting Date: Dec 18 @ 4 PM ET