May 21, 2013 - Front Office Meeting Agenda

Meeting Agenda
  • FINRA Updates
    • FINRA Rule 5270 Front Running Rule
      • May 9, 2013: Rule filing to extend effective date to Sep 3, 2013
      • Dec 03, 2012: Regulatory Notice 12-52 – SEC Approves Consolidated Front Running Rule – Updated May 3, 2013
    • Equity Trade Reporting Within 10 Seconds
      • May 13, 2013: FINRA approves 10 Second Trade Reporting Rule SR-FINRA-2013-013
      • May 7, 2013: FINRA responds to industry comment letters
      • 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
    • Trade Reporting Reversals Notice
      • Mar 25, 2013 – Reporting Reversals of OTC Trades in Equity Securities. Effective date extended to July 29, 2013
  • Additional Updates
      • May 03, 2013: BOX approved to trade jumbo options
      • Mar 01, 2013: 34-69012 – Topaz Exchange Application for Registration as a National Securities Exchange
      • Mar 27, 2013: NYSE Account Type Indicator Phase-In Extended to July 1, 2013
  • FIF Working Group Updates
    • Limit-Up Limit Down - Sign up for LULD WG Alerts
      • Implementation Update - Clare Saperstein, NYSE
      • FIF LULD Relevant Links Portal
    • ORF Migration - Sign up for FIF ORF Migration WG alerts
      • May 14, 2013: FIF ORF Migration Tracking Document updated
      • Apr 11, 2013: New Schedule for Reporting OTC Equity Security Trades to New FINRA OTC Reporting Facility 
      • ORF Technical Notices
      • Next FIF Meeting: May 29 @ 1PM ET
    • Regulation SCI - Sign up for FIF Market Stability/Reg SCI WG alerts
      • May 20, 2013 - SEC extends comment period to Jul 8, 2013
      • May 07, 2013: FIF Comment Letter requesting extension of comment period
      • Apr 08, 2013: FIF posted summary of Reg SCI
      • Mar 08, 2013: Proposed Regulation Systems Compliance and Integrity - Comments Due: Jul 8, 2013
      • Mar 07, 2013: SEC Proposes Rules to Improve Systems Compliance and Integrity 
      • Next FIF Meeting: May 22 @ 11AM ET
    • Consolidated Audit Trail– Sign up for CAT WG Alerts           
      • FIF CAT Relevant Links Portal
      • May 09, 2013: RFP Questions and Responses
      • May 09, 2013: CAT Bidders Conference Questions and Responses
      • Apr 19, 2013: Presentation from FIF CAT WG Meeting with SEC
      • CAT NMS Plan - RFP Process – Extension of RFP Responses Due date to Jun 30, 2013
      • Next FIF Meetings: 
      • May 21 @ 10AM ET - Primary Market Transactions
      • May 28 @ 10AM ET - Discussion of FIF response toSRO questions
    • Large Trader – Sign up for Large Trader Reporting WG Alerts
      • May 10, 2013: ISG EBS FAQs updated
      • Apr 03, 2013: Large Trader Extended to Nov 1, 2013
  • FIF Monthly Reports
    • Sign up for Report Alerts
    • May 2013 Initiatives Tracker
    • May 2013 Milestones Tracker
    • Apr 2013 Market Share Report
    • Apr 2013 Market Dynamics Report
    • Apr 2013 Market Share & Market Dynamics Executive Summary
  • FIF Upcoming Events: Jun 18 @ 5PM ET - Agility In an Age of Rapidly Evolving Global Markets
  • Next Meeting Date: Jun 17 @ 4 PM ET