September 16, 2014 - Front Office Meeting Agenda

Meeting Agenda

  • ATS Transparency
    • Sept 15, 2014: MPID Requirements for FINRA members operating an ATS. Implementation date to be changed from Nov 10, 2014 to Feb 2, 2015.
    • Sept 15, 2014: FINRA Hosting an OATS/Trade Reporting Industry Call and WebEx Presentation on Thursday, September 18, 2014
  • CBOE Options Tied to Stock
    • Sept 10, 2014: CBOE Options Tied to Stock Meeting Materials
    • Aug 13, 2014: SR-CBOE-2014-040 - Order Approving a Proposed Rule Change Relating to Orders That Are Tied to Stock
  • ORF Migration WG
    • Sept 10, 2014: Revised OTC Reporting Facility (ORF) Platform API Specification
    • Aug 21, 2014: Revised User Acceptance Test Dates for New OTC Reporting Facility Technology Platform
    • Aug 05, 2014: ORF Paperwork Contact List - To be added to this list, email fifinfo@fif.com
    • FINRA ORF Migration Website
    • ORF Technical Notices
  • SR-FINRA-2013-050 WG
    • Sept 9, 2014: Regulatory Notice 14-21 - The effective dates for ADFs and TRFs (millisecond reporting) has been extended from Sept 29 to Nov 10
    • Sept 9, 2014: NASDAQ Technical Update #2014-13
  • Self-Trade Prevention
    • Sept 10, 2014 - Self-Trade Prevention Post-Implementation Discussion Document
  • FIF Working Group Updates - Join Working Groups
    • Rule 605/606 Disclosure WG
      • Sept 10, 2014 - Rule 605/606 Disclosure Discussion Document
      • Meeting with the SEC on September 23rd
    • Tick Size Pilot WG
      • Aug 28, 2014: FIF Discussion Document - Excerpted Portions of the Proposed Tick Size NMS Plan
      • Aug 25, 2014: Cover Letter to Proposed Plan
      • Aug 25, 2014: Proposed Plan
      • Firms should submit implementation issues to fifinfo@fif.com for FIF comment letter
    • OATS WG
      • Sept 15, 2014: FINRA Hosting an OATS/Trade Reporting Industry Call and WebEx Presentation on Thursday, September 18, 2014.
      • Sept 9, 2014: OATS Reporting Obligations When Reducing Share Quantity
    • Market Data Capacity WG
      • Next Meeting Date: Wednesday, September 17th @ 10:30 AM ET
    • FINRA CARDS WG
      • Next Meeting Date: Thursday, October 16th @ 11:00 AM ET
      • See Regulatory Notice 13-42 and Comment Letters here
    • Consolidated Audit Trail WG
      • DAG Update
      • FIF CAT WG Meetings with Bidders
  • 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
    • Sept 4, 2014: SR-NYSE-2014-50 - Proposal to Amend Rule 15 to Specify that Exchange Systems can Publish Pre-Opening Indications and to Extend the Time Order Imbalance Information is Disseminated when an Opening is Delayed
    • Sept 3, 2014: SR-Phlx-2014-57 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Common Ownership
    • Aug 27, 2014: SR-NYSE-2014-48 - Proposal to Amend NYSE Rule 49, Which Addresses the Exchanges Emergency Powers, to Revise how Certain messages are Disseminated
    • Aug 21, 2014: SR-NYSEMKT-2014-56 - Notice of Designation of a Longer Period for Commission Antion on Proposed Rule Change Amending Rule 13 - Equities to Make the Add Liquidity Only Modifier Available for Additional Limit Orders and Make the Day Time-In-Force Condition Available for Intermarket Sweep Orders
    • Aug 21, 2014: SR-NYSEMKT-2014-69 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 86 - Equities to Extend the Hours for the Core Bond Trading Session for NYSE MKT Bonds
    • Aug 20, 2014: SR-BX-2014-035 - Order Approving Proposed Rule Change Relating to Market Maker Quoting Obligations and the Introduction of a Lead Market Maker
    • Aug 20, 2014: SR-BATS-2014-033 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of BATS Exchange, Inc.
  • Additional Updates - Options
    • Sept 8, 2014: SR-CBOE-2014-015 - Notice of Filing of a Proposed Rule Change Relating to Complex Orders
    • Sept 4, 2014: SR-BX-2014-044 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPY and DIA Options
    • Aug 28, 2014: SR-BATS-2014-038 - Notice of Filing of a Proposed Rule Change to Rules 11.9 and 21.1 of BATS Exchange, Inc.
    • Aug 26, 2014: SR-CBOE-2014-062 - Proposal to Adopt Extended Trading Hours
    • Aug 26, 2014: SR-BX-2014-042 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX Options Lead Market Maker Rules
    • Aug 21, 2014: SR-NYSEMKT-2014-70 -  Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing the Short-Term Option Series Program to Introduce Finer Strike Price Intervals for Related Non-Short-Term Options
    • Aug 20, 2014: SR-BATS-2014-034 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes to Rules 11.9(f) and 21.1(g) of BATS Exchange, Inc.
  • Register for the October 23rd FIF Regulatory Reporting Event, Sponsored by Broadridge
  • Next Meeting Date: Tuesday, October 21st @ 4:00 PM ET