December 18, 2012: Front Office Meeting Agenda

Meeting Agenda

  • FINRA ORF Migration (Andrew Kagan, FINRA)
    • Dec 03, 2012: Reporting OTC Equity Trades to New FINRA OTC Reporting Facility – Launch Date: August 2013
  • NASDAQ Market Maker Peg Order / AQR Discontinuation
    • Dec 17, 2012: SR-NASDAQ-2012-140 – Proposed rule change to retire the automated quote management functionality described under NASDAQ Rules 4613(a)(2)(F) and (G) on January 16, 2013 and make conforming changes to Rule 4751(f)(15)
    • Dec 05, 2012: Equity Technical Update #2012-32 – NASDAQ to Discontinue AQR on January 15, 2013
    • Oct 08, 2012: Market Maker Peg Order and Discontinuation of Automated Quote Refresh FAQs
    • Market Maker Peg fact sheet
  • FINRA Stop Orders
    • Dec 11, 2012: Updated FINRA OATS Technical Specifications containing code changes specific to New FINRA Rule 5350
    • Dec 06, 2012: FIX Protocol Gap Analysis – Enhanced Stop Order Type Support v1_4
    • FIF/FPL Regulatory Reporting WG Update - Sign up for FIF/FPL Regulatory Reporting Alerts
    • Nov 02, 2012: Regulatory Notice 12-50 - SEC Approves Amendments Relating to Stop Orders – Effective Date: Jan 21, 2013
    • Sep 04, 2012: SR-FINRA-2012-026– Order Approving a Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders
  • NYSE Account Type Indicators
    • Oct 09, 2012: Information Memo 12-25 – Account Type Indicators (ATI): Revised List Effective October 15, 2012 – Last Trade Date to use Eliminated ATI: Feb 1, 2013
    • Oct 09, 2012: Attachments to Information Memo-12-25.pdf
  • Additional FINRA Updates
    • FINRA Board of Governors Update
      • Equity Trade Reporting Requirements Within 10 seconds
      • Wash Sales
  • Working Group Updates
    • FIF Consolidated Audit Trail WG – Sign up for CAT Alerts
      • Next FIF CAT WG Meeting Date: Dec 20 @ 1:00 – 3:00 PM ET
      • Dec 10, 2012: SRO CAT NMS In-Person Event
      • Dec 05, 2012: Consolidated Audit Trail - Proposed RFP Concepts
      • CAT NMS Plan Website
      • FIF CAT WG – Current Documents
      • FIF CAT WG – Relevant Links
    • FIF Limit Up-Limit Down WG – Sign up for LULD Alerts
      • Dec 13, 2012: FIF Comment Letter to SEC on Limit Up-Limit Down
      • Dec 07, 2012: FIF Limit Up-Limit Down WG - Extension Comment Letter Draft
      • Nov 28, 2012: FIF Limit Up-Limit Down WG Implementation Tracking
    • FIF Large Trader WG – Sign up for Large Trader Reporting Alerts
      • Dec 10, 2012: FIF Large Trader Reporting WG - Post Execution Transfers Implementation Alternative
      • Nov 21, 2012: FIF Large Trader Reporting WG Post-Execution Transfer Scenarios - Implementation Alternative
      • FIF Large Trader Reporting WG Relevant Links Portal
  • Market Access / Exchange Risk Management
    • Nov 30, 2012: SR-BATS-2012-045, SR-BYX-2012-022 – Approval of Proposed Rule Change to Expand the Availability of Risk Management Tools
    • Nov 26, 2012: BATS Expands Access of Risk Management and Kill Switch Tools to All Members
    • Nov 26, 2012: Introducing New, Free Pre-Trade Risk Tool for EDGA and EDGX Exchanges
  • Additional Updates
    • Dec 03, 2012: 10-207 – SEC Approves Miami International Securities Exchange Application
    • Dec 06, 2012: MIAX Option System Settings Including OATS and Blue Sheet Codes
    • Dec 03, 2012: Regulatory Notice 12-52 – SEC Approves Consolidated Front Running Rule – Effective Date: Jun 1, 2013
  • FIF Monthly Reports
    • Dec 2012 Initiatives Tracker – Sign up for Initiatives Tracking Report Alerts
    • Dec 2012 Milestones Tracker
    • Executive Summary
    • FIF Market Share Nov 2012 Report – Sign up for Market Share Report Alerts
    • FIF Market Dynamics Nov 2012 Report – Sign up for Market Dynamics Report Alerts
  • Next Meeting Date: Jan 15 @ 4 PM ET