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
• 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