September 17, 2013 - Front Office Meeting Agenda

Meeting Agenda
  • NYSE Account Type Indicator Status
    • Aug 16, 2013: FIF Feedback on NYSE ATI Info Memo Draft
    • Aug 23, 2013: Information Memo 13-17 - Account Type Indicator Phase-In Extended to February 3, 2014
  • FINRA Wash Sale Proposal
    • Aug 28, 2013: SR-FINRA-2013-036 - Proposed Rule Change Relating to Wash Sale Transactions and FINRA Rule 5210 - Comment Period Ends September 25, 2013
    • Next Meeting Date: Tuesday, Sep 24th, 2013 @ 10 AM ET
  • Symbology
    • Aug 27, 2013: Equity Trader Alert #2013 - 79 - Nasdaq Announces Expanded Symbology for Nasdaq-Listed Companies, Beginning January 2014
    • Next Meeting Date: Friday, Sep 27th, 2013 @ 11 AM ET
  • ORF Migration
    • Jul 29, 2013: FIF ORF Migration Comment Letter
    • ORF Technical Notices
  • OATS
    • Sep 12, 2013: OATS Technical Specifications - FINRA Will Begin Publishing EDGA and EDGX Exchange Route Matching Statistics to the OATS Production Environment on November 18, 2013 (These Statistics will be available in the CT Environment on October 21, 2013)
    • FINRA Guidance on OATS Exchange Route Matching

  • Additional Updates
    • Sep 13, 2013: SR-NYSEArca-2013-87 - Proposed Rule Change Proposing to Modify the Manner in which it Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by the NASDAQ UTP Securities Information Processor On August 22, 2013, which Impacted Trading Across All Markets
    • Sep 12, 2013: SR-CHX-2013-16 - Proposed Rule Change to Adopt Standards for the Cancellation or Adjustment of Bona Fide Error Trades, the Submission of Error Correction Transactions, and the Cancellation or Adjustment of Stock Leg Trades of Stock-Option or Stock-Future Orders
    • Sep 10, 2013: SR-FINRA-2013-031 - Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Participation on the ADF 
    • Sep 04, 2013: SR-FINRA-2013-037 - Proposed Rule Change to Amend FINRA Rule 5131 - Comment Period Ends October 01, 2013
    • Aug 30, 2013: SR-BX-2013-016 - Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Adopt a Directed Order Process; See also comments on SR-BX-2013-016; See also Notice: Rel. No. 34-69684, Notice: Rel. No. 34-69040
    • Aug 27, 2013: New ADF FIX Specifications Available - FINRA is Migrating the ADF to a New Technology Platform, and has Published New FIX Protocol Specifications for Interfacing with the System
    • Aug 27, 2013: Data Technical News #2013 - 34 - FINRA to Disseminate Odd Lot Transactions for OTC Equity Securities on TDDS - Effective October 21, 2013
    • Aug 21, 2013: SR-NASDAQ-2013-109 - Proposed Rule Change to Modify Nasdaq's Optional Anti-Internalization Functionality - Comment Period Ends September 17, 2013
    • Aug 20, 2013: SR-NYSEMKT-2013-59 - Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rule 956NY, which Governs NDX and RUT Combination Orders - The Commission Designates October 7th, 2013 as the Date by which the Commission should Approve or Disapprove
  • FIF Working Group Updates 
    • Limit Up-Limit Down
      • Aug 27, 2013: 34-70274 - Notice of Filing of the Fifth Amendment to the National Market System Plan to Address Extraordinary Market Volatility - Comment Period Ends September 24, 2013
      • Aug 27, 2013: 34-70273 - Notice of Filing of the Fourth Amendment to the National Market System Plan to Address Extraordinary Market Volatility - Comment Period Ends September 24, 2013
      • Limit Up-Limit Down Relevant Links
    • Large Trader WG - Sign up for Large Trader Reporting Working Group Alerts
      • August 29, 2013: FIF Large Trader FAQs Request
    • Consolidated Audit Trail WG - Sign up for CAT Working Group Alerts
      • Aug 26, 2013: Cover Letter to NMS Plan
      • CAT Selection Process NMS Plan
      • FIF CAT Current Documents
      • CAT NMS Plan - RFP Process
      • Next Meeting Date: Thursday, Sep 19th, 2013 @ 1 PM ET
    • Market Stability WG Sign up for FIF Market Stability/Reg SCI Working Group Alerts
      • Sep 06, 2013: NYSE Trader Notice - NYSE & NYSE MKT Rule 49 Disaster Recovery Test with NYSE Arca
      • Sep 06, 2013: NYSE Arca Notice - NYSE & NYSE MKT Rule 49 Disaster Recovery Test with NYSE Arca
      • Rule 49 Amendment FAQ
      • Aug 29, 2013: FIF Comment Letter on Proposed NYSE Rule 49
    • MSRB WG
      • Jul 31, 2013: 2013-14 - Rule G-14 Concept Release on Pre-Trade and Post-Trade Pricing Data Dissemination Through a New Central Transparency Platform - Comments due Nov 1, 2013
      • Next Meeting Date: MSRB Comment Letter Meeting - Monday, Sep 30th, 2013 @ 1 PM ET
  • FIF Monthly Reports
    • Sign up for Report Alerts
    • Initiatives Tracker
    • Milestones Tracker (Milestones Listed Below)
      • TBD: FINRA to Require Dark Pools to Report Trade Volume on an Aggregate Basis - Issued Jul 11, 2013
      • Sep 21, 2013: NYSE & NYSE MKT Rule 49 Disaster Recovery Test with NYSE Arca
      • Oct 21, 2013: New/Redefined CTS Sale Conditions and New CTS/CQS Financial Status Code/Value - Issued Aug 08, 2013
      • Oct 21, 2013: UTP SIP to Introduce New Sale Condition Modifiers and Financial Status Indicator - Issued Aug 08, 2013
      • Oct 21, 2013: Data Technical News #2013 - 34 - FINRA to Disseminate Odd Lot Transactions for OTC Equity Securities on TDDS - Issued Aug 27, 2013
      • Nov 1, 2013: 34-70150 - Phase 2 of 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 - Issued Aug 08, 2013
      • Nov 4, 2013: Regulatory Notice 13-19 - 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 - Issued May 23, 2013
      • Nov 18, 2013: OATS Technical Specifications - FINRA Will Begin Publishing EDGA and EDGX Exchange Route Matching Statistics to the OATS Production Environment on November 18, 2013 (These Statistics will be available in the CT Environment on October 21, 2013); See also FINRA OATS Report
      • Dec 01, 2013: Deadline for Exchanges and FINRA to submit CAT Plan
      • Dec 08, 2013: LULD Phase 2(b) Full Roll-Out Date
      • Dec 13, 2013: RG13-111 - CBOE is planning to submit a rule change filing in the near future that will require all legs of a complex order strategy be included on a single order ticket to qualify for representation and execution as a complex order under applicable Exchange rules - Issued Aug 13, 2013
      • Jan 2014: Equity Trader Alert #2013 - 79 - Nasdaq Will Expand Symbology for Nasdaq-Listed Companies
      • Feb 03, 2014: Information Memo 13-17 - Account Type Indicator Phase-In Extended to February 3, 2014 - Issued Aug 23, 2013
      • Early 1Q2014: New Schedule for Reporting OTC Equity Securities Trades to New FINRA OTC Reporting Facility Effective Date - Issued Apr 11, 2013
      • Mar 01, 2014: IIROC Notice 13-0184 - New Canadian DMA Rules: NI 23-103
      • No Earlier than 2H2014: SR-FINRA-2013-031 - Proposed Rule Change Relating to Participation on the ADF - Issued Aug 01, 2013
      • Nov 1, 2015: 34-70150 - Phase 3 of 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 - Issued Aug 08, 2013
    • Market Share Report
    • Market Dynamics Report
    • Market Share & Market Dynamics Executive Summary
  • Next Meeting Date: Tuesday, Oct 22nd, 2013 @ 4:00 PM ET
  • Register: FIF Innovation In Practice Event - Sponsored By Deutsche Bank: Monday, September 30th @ 5:00 PM ET