July 16, 2013 - Front Office Meeting Agenda

Meeting Agenda

  • Limit Up-Limit Down Update (Cole Chmielewski, BATS; Burke Cook, Nasdaq; Clare Saperstein, NYSE)
    • LULD Amendments to Modify Phase 2 (i.e., Phase 2a/2b)
    • FIF Relevant Links Portal
  • NYSE Account Type Indicator Status Update
    • Jun 03, 2013: NYSE Account Type Indicators - Effective Sep 3, 2013
    • Jan 24, 2013: FIF Front Office Committee Questions on NYSE Account Type Indicators
  • SIP Updates - New Sales Condition Modifiers
    • Jul 10, 2013: New/Redefined CTS Sale Conditions and new CTS/CQS Financial Status Code/Value
    • Jul 05, 2013: UTP SIP to Introduce New Sale Condition Modifiers and Financial Status Indicator
  • ORF Migration
    • Apr 11, 2013: New Schedule for Reporting OTC Equity Securities Trades to New FINRA OTC Reporting Facility Effective Date: Early 1Q 2014
    • ORF Technical Notices
  • Additional Updates
    • Jul 11, 2013: FINRA to require Dark Pools to report trade volume on an aggregate basis
    • Jul 05, 2013: CBOE Extending FLEX AIM Pilot Program to July 18, 2014
    • Jul 04, 2013: IIROC Provisions Respecting Third-Party Electronic Access to Marketplaces
    • Jul 02, 2013 PHLX List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration
    • Jun 24, 2013: Deletion of NYSE Rule 476(a0(8) Wash Sales
    • Jun 21, 2013: SR-NYSEMKT-2013-52 - Extending the Operation of Its SLP Pilot until the Earlier of the SEC Approval to Make Such Pilot Permanent or January 31, 2014
    • Jun 20, 2013:  SR-NYSE-2013-43 - Extending the Operation of Its New Market Model Pilot (Hybrid)
    • Jun 20, 2013: SR-NYSE-2013-41 - Amending NYSE Rule 1000 to Increase the Price Threshold for Those Securities Ineligible for Automatic Executions from $1,000 or More to $10,000 or More
    • Jun 12, 2013: CME - Longer Period for Commission Action on Proposed Rule Change Related to the Liquidity Factor of CME's CDS Margin Methodology
  • FIF Working Group Updates
    • Large Trader WG - Sign up for Large Trader Reporting Working Group Alerts
      • FIF EBS Subgroup - ISG Account Information Reporting
      • May 10, 2013: ISG EBS FAQs
    • Consolidated Audit Trail – Sign up for CAT Working Group Alerts
      • FIF CAT Current Documents
      • CAT NMS Plan - RFP Process
      • Next FIF Meeting: Jul 23  @ 2 PM ET
    • Regulation SCI - Sign up for FIF Market Stability/Reg SCI Working Group Alerts
      • Jul 09, 2013: FIF presentation to STA on Reg SCI
      • Jul 08, 2013: FIF Comment Letter on Regulation SCI
      • Mar 08, 2013: Proposed Regulation Systems Compliance and Integrity
  • FIF Monthly Reports
    • Sign up for Report Alerts
    • Jul 2013 Initiatives Tracker
    • Jul 2013 Milestones Tracker
      • May 23, 2013: 34-69012 – ISE Gemini Exchange (formerly called Topaz) Expected to Begin Trading in August 2013
      • Mar 25, 2013 - Reporting Reversals of OTC Trades in Equity Securities. Effective Date extended to Jul 29, 2013
      • May 9, 2013: FINRA Rule 5270 (Front Running) - Rule filing to extend effective date to Sep 3, 2013
      • 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, Effective Nov 4, 2013
      • Jun 04, 2013: Options Penny Pilot - Extended to Jan 5, 2014
    • Jun 2013 Market Share Report
    • Jun 2013 Market Dynamics Report
    • Jun 2013 Market Share & Market Dynamics Executive Summary
  • Next Meeting Date: Aug 20 @ 4 PM ET
  • Save the Date: FIF 3Q 2013 Event - Sponsored by Deutsche Bank