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August 19, 2014 - Front Office Meeting Agenda

Meeting Agenda

  • CBOE Options Tied to Stock
    • Aug 13, 2014: SR-CBOE-2014-040 - Order Approving a Proposed Rule Change Relating to Orders That Are Tied to Stock
    • Aug 06, 2014: CBOE Comment Letter in Response to FIF comment letter
    • Jul 18, 2014: FIF Comment Letter II on CBOE-2014-040: Options Tied to Stock
  • ATS Transparency
    • Separate ATS MPID / Clearing Only Print Issue
  • ORF Migration/SR-FINRA-2013-050 WG
    • Aug 19, 2014: Revised Migration Date for New OTC Reporting Facility Technology Platform
    • Aug 19, 2014: Updated FINRA Frequently Asked Questions: OTC Reporting Facility Migration
    • Aug 08, 2014: FIF Request for Delay of FINRA ORF Migration/SR-FINRA-2013-050
    • Aug 05, 2014: ORF Paperwork Contact List - To be added to this list, email fifinfo@fif.com
    • FINRA ORF Migration Website
    • ORF Technical Notices 
  • FIF Working Group Updates - Join Working Groups
    • Rule 605/606 Disclosure WG
      • Next Meeting Date: Wednesday, August 20th @ 2:00 PM ET
    • Tick Size Pilot WG
      • Jun 26, 2014: SEC Order - Tick Size Plan Summary
      • Jun 24, 2014: Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a Tick Size Pilot Plan - The Tick Size Pilot Plan should be filed with the Commission pursuant to Rule 608 under the Act no later than August 25, 2014.
    • OATS WG
      • Partial Cancel Guidance Expected in September
    • Large Trader / EBS WG
      • Jul 01, 2014: FIF Large Trader & Options Draft Relief Request
    • Market Data Capacity WG
      • Next Meeting Date: Wednesday, August 20th @ 10:30 AM ET
    • FINRA CARDS WG
      • Awaiting Next Reg Notice before Meeting with FINRA
      • See Regulatory Notice 13-42 and Comment Letters here
    • Consolidated Audit Trail WG
      • Aug 05, 2014: Allowing for Optional Use of Order ID on Allocation Report - Exemptive Relief Request Discussion Document
      • Current Documents
      • Next Meeting Date: FIF CAT WG Meeting with FINRA Bid Team - Thursday, August 21st @ 3:00 PM ET
  • FIF Regulatory Initiatives Tracking Site - (Requires FIF Website Login)
  • FIF Monthly Reports
    • Market Share Report
    • Market Dynamics Report
    • Market Share Executive Summary 
    • Market Dynamics Executive Summary
  • Additional Updates - Equities
    • Aug 12, 2014: SR-NYSEMKT-2014-65 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 935NY and Rule 964NY to Delete Obsolete References to Tracking Orders and Make Other Non-Substantive, Technical Changes to the Exchange Rules.
    • Aug 05, 2014: SR-NASDAQ-2014-076 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Utilize a Trade Condition Modifier
    • Jul 29, 2014: SR-NYSEArca-2014-04 - Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Arca, Inc.’s Rules by Revising the Order of Priority of Bids and Offers When Executing Orders in Open Outcry
    • Jul 29, 2014: SR-NYSEMKT-2014-62 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarifying the Exchange’s Use of Certain Data Feeds for Order Handling and Execution, Order Routing, and Regulatory Compliance; See also SR-BATS-2014-029, SR-CHX-2014-10, SR-NASDAQ-2014-072, SR-NYSE-2014-38, SR-NYSEArca-2014-82, SR-EDGA-2014-17, SR-EDGX-2014-20
    • Jul 29, 2014: Equity Trader Alert #2014 - 57 - NASDAQ Announces Processing Enhancements to Reserve Orders
    • Jul 28, 2014: SR-BATS-2014-022 - Order Granting Approval of a Proposed Rule Change to Amend the Competitive Liquidity Provider Program; See also SR-EDGX-2014-21
    • Jul 21, 2014: SR-BATS-2014-027 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9, 11.12, 11.18, 21.1 and 21.7 of BATS Exchange, Inc.
    • Jul 16, 2014: SR-NYSE-2014-35 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange’s Retail Liquidity Program until March 31, 2015; See also SR-NYSEMKT-2014-60
    • Jul 16, 2014: SR-NYSEMKT-2014-59 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 500 - Equities to Extend the Operation of the Pilot Program That Allows “UTP Securities” to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or December 31, 2014
    • Jul 16, 2014: SR-NYSE-2014-34 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Currently Scheduled to Expire on July 31, 2014, Until the Earlier of the Securities and Exchange Commission’s Approval to Make Such Pilot Permanent or December 31, 2014; See also SR-NYSEMKT-2014-58
    • Jul 16, 2014: SR-NYSE-2014-33 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its New Market Model Pilot, Currently Scheduled to Expire on July 31, 2014, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or December 31, 2014; See also SR-NYSEMKT-2014-57
  • Additional Updates - Options
    • Aug 14, 2014: SR-BOX-2014-16 - Order Granting Approval of a Proposed Rule Change to Adopt New Trade Allocation Algorithms for Matching Trade at the Conclusion of the PIP and the COPIP
    • Jul 29, 2014: SR-BX-2014-037 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Disclose Publicly the Sources of Data Used for Exchange Functions; See also SR-Phlx-2014-49
    • Jul 29, 2014: SR-BX-2014-038 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Short Term Options Series, SR-NASDAQ-2014-074
    • Jul 28, 2014: Options Regulatory Alert #2014 - 27 - NOM and BX Options Update Participants on Changes to “Order Imbalance Indicator” Message
    • Jul 24, 2014: SR-Phlx-2014-46 - Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to SPY and DIA Options
    • Jul 18, 2014: SR-NYSE-2014-39 - Notice of Filing of Proposed Rule Change Removing Building Access and Other Restrictions on Traders Conducting Certain Futures and Options Trading on ICE Futures U.S., Inc. in Space Rented from the Exchange
  • New Co-Chair for the Front Office Committee
  • Next Meeting Date: Tuesday, September 16th @ 4:00 PM ET