March 26, 2013: Front Office Meeting Agenda

Meeting Agenda

  • Regulation SCI
    • Mar 08, 2013: Proposed Regulation Systems Compliance and Integrity – Comments Due: May 24, 2013
    • Mar 07, 2013: SEC Proposes Rules to Improve Systems Compliance and Integrity
  • FINRA Rule 5270 Front Running Rule
    • FIF Meeting on Apr 3 @ 11 AM ET
    • Dec 03, 2012: Regulatory Notice 12-52 – SEC Approves Consolidated Front Running Rule – Effective Date: Jun 1, 2013
  • FINRA Updates
    • FINRA ORF Migration
      • Feb 14, 2013: FIF Front Office Committee - ORF Migration Issues
      • ORF Technical Notices
        • Updated Specifications for Reporting OTC Equity Trades to New FINRA OTC Reporting Facility (ORF) Platform (1/28/13)
      • Documentation for New Platform 
        • Jan 28, 2013: ORF FIX Specification – version 1.1
        • Jan 28, 2013: ORF CTCI Specification – version 1.0
      • Reporting OTC Equity Trades to New FINRA OTC Reporting Facility– Launch Date: August 2013
    • Equity Trade Reporting Within 10 Seconds
      • Mar 19, 2013: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
      • Mar 6, 2013: FIF Comment Letter on 10 Second Trade Reporting - View Additional Letters
      • Feb 06, 2013: Notice of Filing of Proposed Rule Change to Require Members to Report OTC Equity Transactions As Soon As Practicable, But No Later Than 10 Seconds, Following Execution
  • Additional Updates
    • NYSE Account Type Indicators
      • Jan 28, 2013: Information Memo 13-2 – Account Type Indicator Phase-In Extended to April 1, 2013
      • Jan 24, 2013: FIF Front Office Committee Questions on NYSE Account Type Indicators
    • New Exchanges
      • Mar 01, 2013: 34-69012 – Topaz Exchange Application for Registration as a National Securities Exchange
    • IIROC Updates
      • Feb 28, 2013: Requirements to Notify IIROC under the Electronic Trading Rule Amendments - FAQs
      • 23-103 - Electronic Trading and Direct Electronic Access to Marketplaces
      • Feb 21, 2013: Guidance on Market-wide Circuit Breakers
  • Working Group Updates
    • FIF Limit Up-Limit Down WG – Sign up for LULD Alerts
      • FIF LULD Relevant Links Portal
      • Next Meeting Date: Apr 2 @ 11 AM ET
    • FIF Consolidated Audit Trail WG – Sign up for CAT Alerts
      • FIF CAT Relevant Links Portal
      • CAT NMS Plan - RFP Process
      • Next Meeting Date: Apr 2 @ 4 PM ET
    • FIF Large Trader WG – Sign up for Large Trader Reporting Alerts
      • Mar 14, 2013: Updated EBS FAQS
      • Feb 26, 2013: ISG Responses on Primary and Contra Party ID Fields
  • FIF Monthly Reports
    • Mar 2013 Initiatives Tracker – Sign up for Initiatives Tracking Report Alerts
    • Mar 2013 Milestones Tracker
    • Feb 2013 Market Share/Market Dynamics Executive Summary
    • Feb 2013 FIF Market Share Report – Sign up for Market Share Report Alerts
    • Feb 2013 FIF Market Dynamics Report – Sign up for Market Dynamics Report Alerts
  • Next Meeting Date: Apr 16 @ 4 PM ET