August 20, 2013 - Front Office Meeting Agenda

Meeting Agenda
  • IIROC Notice - 13-0184 (Kuno Tucker, ITG) - New Canadian DMA Rules: NI 23-103 
  • Limit Up-Limit Down
    • Jul 17, 2013: Amendment No.5 of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS Under the Securities Exchange Act of 1934
    • Limit Up-Limit Down Relevant Links
  • NYSE Account Type Indicator Status
    • Jul 19, 2013: NYSE ATI Draft InfoMemo and Exhibit
    • Jun 03, 2013: NYSE Account Type Indicators - Deadline Extended to Sept 3, 2013
    • Jan 24, 2013: FIF Front Office Committee Questions on NYSE Account Type Indicators
  • ORF Migration
    • Jul 29, 2013: FIF ORF Migration Comment Letter
    • Apr 11, 2013: New Schedule for Reporting OTC Equity Securities Trades to New FINRA OTC Reporting Facility Effective Date: Early 1Q2014
    • ORF Technical Notices
  • FINRA ADF
    • Aug 19, 2013: FIF Member Feedback on ADF Filing, SR-FINRA-2013-031
    • Aug 01, 2013: SR-FINRA-2013-031 - Proposed Rule Change Relating to Participation on the ADF - Comment Period Ends Aug 22nd
  • Reg SHO / Options
    • Aug 09, 2013: SEC Issues Risk Alert on Options Trading Used to Evade Short-Sale Requirements
    • Aug 09, 2013: Strengthening Practices for Preventing and Detecting Illegal Options Trading Used to Reset Reg SHO Close-out Obligations
  • Additional Updates
    • Aug 15, 2013: SR-FINRA-2013-036 - Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 (Publication of Transactions and Quotations)
    • Aug 14, 2013: NYSE Cash Equities Market Offer New Mid-Point Order Type
    • Aug 13, 2013: RG13-111 - CBOE Acceptance of Complex Orders with up to 12 Legs
    • Aug 08, 2013: NYSE MKT Trading of NASDAQ-Listed Securities 
    • Aug 02, 2013: SR-NYSEMKT-2013-60 - Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program for an Additional 12 Months, to Expire on July 31, 2014 - Comment Period Ends Aug 29th
    • Jul 31, 2013: SR-CBOE-2013-055 - Amendment No.1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No.1 and Trade a P.M. - Settled Mini-SPX Index Option Product - Comment Period Ends Aug 27th
    • Jul 26, 2013: SR-NYSEMKT-2013-25 - Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes Amending NYSE Rule 104 and NYSE MKT Rule 104 - Comment Period Ends Aug 22nd (Rebuttal Comments due Sept 5th)
    • Jul 23, 2013: InfoMemo #13-16 - Amendment of DMM Quoting Requirement for NASDAQ UTP Stocks
  • FIF Working Group Updates 
    • Large Trader WG - Sign up for Large Trader Reporting Working Group Alerts
      • Aug 08, 2013: Order Temporarily Exempting Certain Broker-Dealers and Certain Transactions from the Recordkeeping and Reporting Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934
      • Jul 25, 2013: FIF Respond to ISG Inquiry Regarding the Reporting of Account Holder Information
      • Next Meeting Date: Thursday, Aug 22nd, @ 1 PM ET
    • Consolidated Audit Trail WG - Sign up for CAT Working Group Alerts
      • FIF CAT Current Documents
      • CAT NMS Plan - RFP Process
    • Market Stability WG - Sign up for FIF Market Stability/Reg SCI Working Group Alerts
      • Aug 16, 2013: Joint Review of the Business Continuity and Disaster Recovery Planning of Firms; See also FINRA Regulatory Notice 13-25
      • NYSE Emergency Powers
        • Aug 02, 2013: SR-NYSEArca-2013-77 - NYSE Arca Equities Rule 2.100, which Provides for Certain Emergency Powers - Comment Period Ends Aug 29th
        • Aug 02, 2013: SR-NYSEMKT-2013-66 - NYSE Rule 49 - Equities in Order to Authorize Exchange Officials to Exercise the Same Emergency Powers As NYSE Officials may Exercise - Comment Period Ends Aug 29th
        • Aug 02, 2013: SR-NYSE-2013-54 - Rule Change to Amend NYSE Rule 49, Addressing the Exchange's Emergency Powers
      • Next Meeting Date: Thursday, Aug 29th, @ 11 AM ET
  • FIF Monthly Reports
    • Sign up for Report Alerts
    • Aug 2013 Initiatives Tracker
    • Aug 2013 Milestones Tracker
      • Aug 08, 2013: New/Redefined CTS Sale Conditions and New CTS/CQS Financial Status Code/Value Effective Oct 21, 2013
      • Aug 08, 2013: UTP SIP to Introduce New Sale Condition Modifiers and Financial Status Indicator Effective Oct 21, 2013
      • Jul 11, 2013: FINRA to Require Dark Pools to Report Trade Volume on an Aggregate Basis
      • May 09, 2013: FINRA Rule 5270 (Front Running) - Rule Filing to Extend Effective Date to Sept 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
    • July 2013 Market Share Report
    • July 2013 Market Dynamics Report
    • July 2013 Market Share & Market Dynamics Executive Summary
  • Next Meeting Date: Tuesday, September 17th @ 4:00 PM ET
  • Register: FIF Innovation In Practice Event - Sponsored By Deutsche Bank: Monday, September 30th @ 5:00 PM ET - Key Note Speaker: Gregg E. Berman, Associate Director, Office of Analytics and Research, Division of Trading and Markets, Securities and Exchange Commission