November 18, 2014 - Front Office Meeting Agenda

Meeting Agenda

  • FINRA Updates
    • Nov 14, 2014: Regulatory Notice 14-51 - FINRA Requests Comment on Proposed FINRA Rules Requiring the Identification of Non-Member Broker-Dealers in Order Audit Trail System (OATS) Reports and the Reporting of Additional Order Information by Alternative Trading Systems (ATS) Comment Period Expires: January 13, 2015
    • Nov 12, 2014: Regulatory Notice 14-48 - FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems. Comment Period Expires: Friday, January 9, 2015
    • Nov 12, 2014: Regulatory Notice 14-47 - FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements. Comment Period Expires: Friday, January 9, 2015
    • Nov 12, 2014: Regulatory Notice 14-46 - FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as "Out of Sequence" and Not Last Sale Eligible. Comment Period Expires: Friday, January 9, 2015
  • CBOE Regulatory Reporting
    • Oct 31, 2014: FIF Comment Letter on CBOE Regulatory Request Format
    • Oct 31, 2014: CBOE Regulatory Circular RG14-154 - Delayed Regulatory Request Data Submissions Format
  • ORF Migration WG
    • Nov 13, 2014: ORF Migration: Major Functional and Administrative Areas for the Migration
    • FINRA ORF Migration Website
    • ORF Technical Notices
  • FIF Working Group Updates - Join Working GroupsFIF Regulatory Initiatives Tracking Site - (Requires FIF Website Login)
    • Tick Size Pilot WG
      • Next Meeting Date: Thursday, November 20th, 2014 @ 2:00PM ET
      • Nov 3, 2014: 4-657 - Notice of Filing of Proposed National Market System Plan to Implement a Tick Size Pilot Program on a One-Year Pilot Basis. Comment Period Ends December 22nd, 2014
    • Rule 605/606 Disclosure WG
      • October 22, 2014 - FIF Rule 605/606 WG Comment Letter
    • Market Data Capacity
      • Spotlight Topic: Nasdaq SIP Processor Selection
      • Next Meeting Date: Wednesday, November 19th, 2014 @ 10:30AM ET (For invite, email fifinfo@fif.com)
    • FINRA CARDS WG
      • Next Meeting Date: Tuesday, November 25th, 2014 @ 11:00AM ET
      • Nov 6, 2014: FINRA Investor Survey Reveals Strong Support for Additional Regulatory Protections
      • Regulatory Notice 14-37: Comment Period Expires: December 1, 2014
    • Consolidated Audit Trail WG
      • Exemptive Relief
      • CAT NMS Plan
    • Market Stability/REG SCI WG
      • Wednesday, November 19, 2014 Open Meeting
  • FIF Monthly Reports
    • Market Share Report
    • Market Dynamics Report
    • Market Share Executive Summary
    • Market Dynamics Executive Summary
  • Additional Updates - Equities
    • Nov. 14, 2014: SR-NYSEMKT-2014-95 - Notice of Filing of Proposed Rule Change Amending Rule 13 - Equities and Related Rules Governing Order Types and Modifiers to Clarify the Nature of Order Types
    • Nov 10, 2014: SR-CHX-2014-18 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Certain Order Types, Modifiers and Related Functionality
    • Nov 3, 2014: Equity Trader Alert #2014-100 - Nasdaq Report Center Offering New Nasdaq Order Execution and Routing Report
    • Oct 30, 2014: SR-BYX-2014-018 - Order Granting Approval of a Proposed Rule Change to Establish an Opening Process
    • Oct 29, 2014: SR-EDGX-2014-18 - Notice of Filing of Amendment Nos. 1 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, to Amend EDGX Rule 1.5 and Chapter XI Regarding Current System Functionality Including the Operation of Order Types and Order Instructions
    • Oct 28, 2014: SR-NYSEArca-2014-118 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.16(f)(v) to Provide that Proactive if Locked Modifiers Will be Ignored for Short Sale Orders During a Short Sale Period
    • Oct 24, 2014: SR-NYSE-2014-56 - Proposal to amend its rules concerning supervision to harmonize the rules with certain FINRA rules and make other conforming changes
    • Oct 23, 2014: Equity Trader Alert #2014-94 - BX Introduces Retail Price Improvement (RPI) Program and Retires RPI Program on The Nasdaq Stock Market
    • Oct 23, 2014: SR-BYX-2014-028 - Notice of FIling and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9 and 11.13 of BATS Y-Exchange, Inc.
    • Oct 23, 2014: Automated Matching Systems, LLC - Order Instituting Proceedings to Determine Whether to Grant or Deny an Application for an Exemption from Registration as a National Securities Exchange Under Section 5 of the Securities Exchange Act of 1934
    • Oct 21, 2014: SR-NASDAQ-2014-081 - Order Approving a Proposed Rule Change Related to Proposed Changes to NASDAQ Rule 4120(c) to Modify the Parameters for Releasing Securities for Trading upon the Termination of a Trading Halt in a Security That Is the Subject of an Initial Public Offering
  • Additional Updates - Options
    • Nov 13, 2014: Options Technical Update #2014-7 - BX Options, NOM, and PHLX Updates Technical Specifications to Support Additional Features
    • Nov 6, 2014: SR-NYSEArca-2014-14 - Notice of Filing of Proposed Rule Change Amending Rule 6.60 to Enhance the Functionality of the Trade Collar Protection Mechanism
    • Nov 6, 2014: SR-NYSEMKT-2014-14 - Notice of Filing of Proposed Rule Change Amending Rule 967NY to Enhance the Functionality of the Trade Collar Protection Mechanism
    • Nov 6, 2014: SR-BX-2014-055 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Cancel-Replacement Orders and Routing
    • Nov 5, 2014: Options Technical Update #2014-6 - PHLX to Begin Utilizing New Purge Code Reason in SQF and Updates FIX Manual
    • Nov 4, 2014: Options Trader Alert #2014-36 - PHLX Introduces Legging Orders
    • Nov 4, 2014: Options Technical Update #2014-5 - PHLX Updates FIX Specifications
    • Nov 3, 2014: CBOE Regulatory Circular RG154-155 - Market Maker Trade Notification Enhancements
    • Oct 31, 2014: Options Trader Alert #2014-35 - Completion of PHLX Floor Broker Management System Rollout to be Suspended until Further Notice
    • Oct 27, 2014: Options Trader Alert #2014-33 - BX Options Amends the Execution Algorithm for Select Products
    • Oct 27, 2014: SR-PHLX-2014-66 - Notice of Filing of Proposed Rule Change to Adopt New Exchange Rule 1081, Solicitation Mechanism, to Introduce a New Electronic Soliciation Mechanism
    • Oct 23,2014: SR-BX-2014-048 - Notice of Filing of a Proposed Rule Change to Establish the Retail Price Improvement Program On a Pilot Basis Expiring Twelve Months from the Date of Publication.
    • Oct 15, 2014: SR-CBOE-2014-073 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Margin Treatment of Over-the-Counter Options Contracts Cleared by The Options Clearing Corporations