Committees
- Front Office
- Data & Technology
- Overview
- Member Resources
- Back Office
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