June 17, 2013 - Front Office Meeting Agenda

Meeting Agenda
  • ORF Migration (Andrew Kagan & Chris Stone, FINRA)
    • May 14, 2013: FIF ORF WG Migration updated
    • Apr 11, 2013: New Schedule for Reporting OTC Equity Securities Trades to New FINRA OTC Reporting Facility Effective Date: Early 1Q 2014
    • ORF Techincal Notices
  • Equity Trade Reporting Within 10 Seconds
    • May 23, 2013: SEC Approves Amendments to Require Firms to Report OTC Transactions in Equity Securities As Soon As Practicable, But No Later Than 10 Seconds Transactions, Following Execution
  • NYSE Initiatives
    • Jun 04, 2013: NYSE Revised Plan to Eliminate LRPs
    • Jun 03, 2013: NYSE Account Type Indicators update - Effective Sep 3, 2013
  • Additional Updates
    • Jun 04, 2013: Options Penny Pilot - Extended to January 5, 2014
    • May 23, 2013: 34-69012 – ISE Gemini Exchange (formerly called Topaz) Expected to Begin Trading in 2Q 2013
  • FIF Working Group Updates
    • Limit Up-Limit Down – Sign up for LULD Alerts
      • FIF LULD Relevant Links Portal
    • Consolidated Audit Trail– Sign up for CAT Alerts
      • FIF CAT Current Documents
      • CAT NMS Plan SRO Portal updated
      • CAT NMS Plan - RFP Process – Extension of RFP Responses
      • Next FIF Meeting: Jun 18  @ 11 AM ET
    • Regulation SCI - Sign up for FIF Market Stability/Reg SCI Working Group Alerts
      • Next FIF Meeting: Jun 19 @ 11 AM ET
      • Recap of SEC Meeting Jun 13
      • Apr 08, 2013: FIF posted summary of Reg SCI
      • Mar 08, 2013: Proposed Regulation Systems Compliance and Integrity – Comments Due: Jul 8, 2013
    • Large Trader WG – Sign up for Large Trader Reporting Alerts
      • FIF EBS Subgroup - ISG Account Information Reporting (attached)
      • May 10, 2013: ISG EBS FAQs updated
      • Apr 03, 2013: Large Trader Extended to Nov 1, 2013
      • Next FIF Meeting: Jun 25 @ 3PM ET
  • FIF Monthly Reports
    • Sign up for Report Alerts
    • Jun 2013 Initiatives Tracker
    • Jun 2013 Milestones Tracker
      • May 9, 2013: FINRA Rule 5270 (Front Running) - Rule filing to extend effective date to Sep 3, 2013
      • Mar 25, 2013 - Reporting Reversals of OTC Trades in Equity Securities. Effective Date extended to Jul 29, 2013
    • May 2013 Market Share Report
    • May 2013 Market Dynamics Report
    • May 2013 Market Share & Market Dynamics Executive Summary
  • FIF Upcoming Events: Jun 18 @ 5 PM ET - Agility In an Age of Rapidly Evolving Global Markets - Registration Closed
  • Next Meeting Date: Jul 16 @ 4 PM ET