Committees
- Front Office
- Data & Technology
- Overview
- Member Resources
- Back Office
January 15, 2013: Front Office Meeting Agenda
Meeting Agenda
- NASDAQ Market Maker Peg Order / AQR Discontinuation
- Jan 11, 2013: Equity Technical Update #2013-3 – NASDAQ to Delay Discontinuation of AQR until February 25, 2013
- Dec 21, 2012: FIF Comment Letter to SEC on AQR Discontinuation
- Dec 21, 2012: SR-NASDAQ-2012-140 – Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retire the Automated Quote Management Functionality Described Under Rules 4613(a)(2)(F) and (G), and Make Conforming Changes to Rule 4751(f)(15) – View Comments
- FINRA Stop Order Amendments
- Jan 09, 2013: SR-FINRA-2013-004 - Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 - Effective Date March 4, 2013
- Nov 02, 2012: SEC Approves Amendments Relating to Stop Orders
- SR-FINRA-2013-004 - Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 - Effective Date March 4, 2013
- SEC Approves Amendments Relating to 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
- Limit Up-Limit Down (FIF Relevant Links Portal)
- Jan 07, 2013: ERA #1 - Revised Limit Up/Limit Down and Market Wide Circuit Breaker Industry Test Dates
- Jan 07, 2013: NYSE, NYSE MKT and NYSE Arca - Order Processing under Limit Up/Limit Down - New Testing Schedule
- Jan 04, 2013: Direct Edge Limit Up-Limit Down FAQ
- Jan 02, 2013: BATS UPDATE: Industry-Wide Limit Up/Limit Down and Market-Wide Circuit Breaker Weekend Testing Schedule
- Dec 28, 2012: BATS U.S. Equities Limit Up-Limit Down FAQ (Updated)
- Dec 24, 2012: NYSE Euronext (NYSE, NYSE MKT, NYSE Arca) Limit Up-Limit Down Trader Update
- Dec 19, 2012: NASDAQ OMX Limit Up-Limit Down FAQ
- Working Group/Committee Updates
- Consolidated Audit Trail WG
- Jan 08, 2013: RFP Concepts Response Draft
- Upcoming FIF CAT WG Meetings: Jan 16 @ 2 PM ET
- Large Trader Reporting WG
- FIF Back Office Committee covering French and Italian Transaction Tax
- Consolidated Audit Trail WG
- FINRA ORF Migration
- Dec 03, 2012: Reporting OTC Equity Trades to New FINRA OTC Reporting Facility (ORF) Platform – Launch Date: August 5, 2013
- Dec 03, 2012: ORF Forms & Documentation
- Penny Pilot Updates
- Dec 21, 2012: SR-BATS-2012-048, SR-BX-2012-076, SR-ISE-2012-95, SR-NASDAQ-2012-143, SR-Phlx-2012-143, SR-CBOE-2012-127, SR-C2-2012-045, SR-MIAX-2012-04, SR-BOX-2012-021 – Extension of the Penny Pilot in Options Classes in Certain Issues Through June 30, 2013
- Dec 13, 2012: SR-NYSEMKT-2012-75, SR-NYSEArca-2012-135 – Approval of Proposed Rule Change Amending Commentary .02 to NYSE Arca Options Rule 6.72 to Extend the Penny Pilot in Options Classes in Certain Issues through March 31, 2013
- Additional FINRA/SRO Updates
- Dec 28, 2012: OATS Secure Transport Upgrade
- Dec 21, 2012: SR-NASDAQ-2012-137 – Proposed Rule Change and Amendment No. 1 Thereto to Establish the Market Quality Program
- Dec 21, 2012: SR-FINRA-2012-010 – Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
- 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
- FIF Monthly Reports
- Jan 2013 Initiatives Tracker - Sign up for Initiatives Tracking Report Alerts
- Jan 2013 Milestones Tracker
- Executive Summary – FIF Market Share and Market Dynamics – Dec 2012
- FIF Market Share Dec 2012 Report – Sign up for Market Share Report Alerts
- FIF Market Dynamics Dec 2012 Report – Sign up for Market Dynamics Report Alerts
- Register Now: Mar 5 @ 5 PM ET – FIF Quarterly Event hosted by NASDAQ OMX FinQloud in Times Square
- Next Meeting Date: Feb 19 @ 4 PM ET