February 19, 2013: Front Office Meeting Agenda

Meeting Agenda

  • Market-Wide Circuit Breaker – Level 3 Halt Carry Over from Previous Day (MWC0)
    • Jan 2013: SR-BATS-2013-010, SR-BYX-2013-007, SR-CHX-2013-02, SR-CBOE-2013-11, SR-EDGA-2013-05, SR-EDGX-2013-05, SR-FINRA-2013-011, SR-NASDAQ-2013-021, SR-NSX-2013-04, SR-NYSE-2013-10, SR-NYSE Arca-2013-06, SR-NYSEMKT-2013-08 – SRO Market-Wide Circuit Breaker Filings
    • Jan 23, 2013: CQS Specification Output Revision 51A
    • Jan 23, 2013: CTS Specification Output Specification Revision 66A
    • Jan 14, 2013: Updated UQDF Specifications
    • Jan 14, 2013: Updated UTDF Specifications
  • Clearly Erroneous
    • Jan 2013: SR-BATS-2013-008, SR-BYX-2013-005, SR-CHX-2013-04, SR-CBOE-2013-12 , SR-EDGA-2013-06, SR-EDGX-2013-06, SR-FINRA-2013-12, SR-NASDAQ-2013-022, SR-NSX-2013-06, SR-NYSE-2013-11, SR-NYSE-Arca-2013-12, SR-NYSEMKT-2013-11 – SRO Clearly Erroneous Filings
  • Single Stock Circuit Breaker
    • Feb 13, 2013: SR-NASDAQ-2013-030 – Proposed Rule Change to Expand The Period When The Trading Pause Under Rule 4120(a)(11) applies so that it will begin at 9:30 AM ET
  • NYSE Updates
    • Feb 04, 2013: NYSE and NYSE MKT to Introduce Self-Trade Prevention Service
    • 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
  • FINRA Updates
    • FINRA ORF Migration
      • FIF Meeting – Feb 12 @ 2 PM ET
      • FIF Member Feedback on ORF (see attached)
      • 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
      • Feb 8, 2013:SR-FINRA-2013-013 – 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 FINRA Updates
      • Feb 8, 2013: SR-FINRA-2012-010– Order Approving a Proposed Rule Change to Amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
      • Jan 31, 2013: SR-FINRA-2013-008 – Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Regarding the Use of Multiple MPIDs on FINRA Facilities – January 14, 2013
      • Dec 03, 2012: Regulatory Notice 12-52 – SEC Approves Consolidated Front Running Rule – Effective Date: Jun 1, 2013
  • Additional Updates
    • Mini Options
      • Jan 31, 2013:SR-CBOE-2013-16 – Proposal to permit the minimum price variation for mini-option contracts that deliver 10 shares to be the same as permitted for standard options that deliver 100 shares on the same security
      • Jan 24, 2013: Options Trader Alert #2013-5 – NASDAQ OMX Mini Options to Begin Trading on Monday March 18, 2013
      • Jan 24, 2013: SR-NASDAQ-2013-011, SR-BX-2013-006 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options
      • Nov 26, 2012: ISE Announces Mini Options Launch Date of March 18, 2013
      • Nov 08, 2012: NYSE Arca Mini Options FAQs
    • NASDAQ Market Maker Peg Order / AQR Discontinuation
      • Jan 15, 2013:SR-NASDAQ-2013-007,  Equity Technical Update #2013-3 , – Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operative Date of Recent Changes Made to Rules 4613(a)(2)(F) and (G) to , and Rule 4751(f)(15)- AQR Retirement Date Extended to February 25, 2013
      • Jan 11, 2013: Equity Technical Update #2013-3 – NASDAQ to Delay Discontinuation of AQR until February 25, 2013
    • FINRA Stop Orders
      • Jan 18, 2013:SR-FINRA-2013-004 – Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation Date of FINRA Rule 5350 (Stop Orders) – Delayed until March 4, 2013
      • 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
  • Working Group Updates
    • FIF Limit Up-Limit Down WG – Sign up for LULD Alerts
      • Next FIF Limit Up-Limit Down WG Meeting- Friday, Feb 22 @ 11:00 – 12:00 PM ET
      • Feb 13, 2013: FIF Limit Up-Limit Down WG Implementation Tracking
      • FIF Limit Up-Limit Down Relevant Links
    • FIF Consolidated Audit Trail WG – Sign up for CAT Alerts
      • Next FIF CAT WG Meeting Date: Feb 20, 27 @ 4 PM ET
      • Jan 31, 2013: FIF CAT WG Response to SRO on January 18 Information to Bidder's Document    
      • Jan 18, 2013: FIF CAT WG Response to RFP Concepts Document
      • CAT NMS Plan Website – View CAT Industry Feedback
    • FIF Large Trader WG – Sign up for Large Trader Reporting Alerts
  • FIF Monthly Reports
    • Feb 2013 Initiatives Tracker – Sign up for Initiatives Tracking Report Alerts
    • Feb 2013 Milestones Tracker
    • Jan 2013 Market Share/Market Dynamics Executive Summary
    • Jan 2013 FIF Market Share Report – Sign up for Market Share Report Alerts
    • Jan 2013 FIF Market Dynamics Report – Sign up for Market Dynamics Report Alerts
  • Upcoming Events: Mar 5 @ 5 PM ET - FIF Exploring Market Complexity Event in NY hosted by NASDAQ
  • Next Meeting Date: Mar 26 @ 4 PM ET