April 16, 2013: Front Office Meeting Agenda

Meeting Agenda

  • IIROC
    • 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
  • NYSE Account Type Indicators
    • Mar 27, 2013: Account Type Indicator Phase-In Extended To July 1, 2013
    • Jan 24, 2013: FIF Front Office Committee Questions on NYSE Account Type Indicators
  • Regulation SCI
    • Sign up for FIF Market Stability/Reg SCI Working Group
    • Next FIF Meeting: Apr 19 @ 1 PM ET
    • Apr 08, 2013: FIF posted summary of Reg 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
    • Dec 03, 2012: Regulatory Notice 12-52 – SEC Approves Consolidated Front Running Rule – Effective Date: Jun 1, 2013
  • FINRA Updates
    • FINRA ORF Migration
      • ORF Migration Delayed Until Early 2014
      • Feb 14, 2013: FIF Front Office Committee - ORF Migration Issues
      • ORF Technical Notices
        • (1/28/13)Updated Specifications for Reporting OTC Equity Trades to New FINRA OTC Reporting Facility (ORF) Platform
      • 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
      • Impact on 20 second look back  http://www.sec.gov/rules/sro/nyse/2012/34-67812.pdf
      • 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
    • New Exchanges
      • Mar 01, 2013: 34-69012 – Topaz Exchange Application for Registration as a National Securities Exchange
  • FIF Working Group Updates
    • Limit Up-Limit Down – Sign up for LULD Alerts
      • FIF LULD Relevant Links Portal
      • Apr 02, 2013: Updated FIF LULD Implementation Tracking Document
      • Apr 02, 2013: SR-NYSE-2013-27 – Proposal to phase out the functionality associated with liquidity replenishment points (“LRPs”) to coincide with the implementation of the Limit Up – Limit Down Plan (the “Plan”) by adding language to NYSE Rule 1000 that, beginning on April 8, 2013, LRPs will no longer be in effect for Tier 1 NMS Stocks, and on the earlier of August 1, 2013 or such date as Phase II of the Limit Up – Limit Down Plan is implemented, LRPs will no longer be in effect for all NMS Stocks
      • Mar 22, 2013: FIF Comment Letter to SEC on Third Amendment to Limit Up-Limit Down Plan
    • Consolidated Audit Trail– Sign up for CAT Alerts
      • FIF CAT Relevant Links Portal
      • Proposed topics document for FIF Meeting with the SEC on Apr 18
      • Mar 25, 2013: SROs Announce Members of CAT Development Advisory Group
      • CAT NMS Plan - RFP Process – Extension of RFP Responses Due date to Jun 30, 2013
    • Large Trader WG – Sign up for Large Trader Reporting Alerts
      • Apr 03, 2013: Large Trader Extended to Nov 1, 2013
  • FIF Monthly Reports
    • Apr 2013 Initiatives Tracker – Sign up for Initiatives Tracking Report Alerts
    • Apr 2013 Milestones Tracker
    • Market Share Report
    • Market Dynamics Report
  • Next Meeting Date: May 21 @ 4 PM ET