December 15, 2014 - Front Office Meeting Agenda

Meeting Agenda

  • FINRA Equity Trading Initiatives
    • Dec 12, 2014: Meeting with FINRA on Equity Trading Reg Notices
    • 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 14-46 - 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 Options Tied To Stock
    • Dec 10, 2014: RG14-171 - Implementation Date for the Tied to Stock Order Marking and Reporting Requirements
  • Pending Initiatives 
    • SR-FINRA-2013-050 - Proposed Rule Change Relating to Over-the-Counter Equity Trade Reporting and OATS Reporting
  • ORF Migration
    • Dec 12, 2014: FIF ORF Migration WG Feedback for FINRA
    • Dec 8, 2014: Incorrect Calculation of Hi/Low/Last on Some Trades
    • Dec 8, 2014: FINRA ORF System May Incorrectly Reject Trades Submitted for Clearing
    • Dec 4, 2014: ORF System Delay
    • Nov 21, 2014: ORF Transactions - November 21, 2014
    • Nov 19, 2014: 90-Day Transition Period for Adding "D" to OTC Equity Symbols Subject to Corporate Actions
  • FIF Working Group Updates - Join Working Groups
    • Tick Size Pilot WG
      • Next Meeting Date: Monday, December 22nd @ 11:00 AM ET
    • Consolidated Audit Trail WG
      • CAT NMS Plan
      • Clock Synch Survey
    • Market Stability/REG SCI WG
      • Next Meeting Date: Thursday, January 8th @ 11:00aM ET
      • Nov 19, 2014: S7-01-13 - Regulation Systems Compliance and Integrity. See also: Staff Guidance on Current SCI Industry Standards
  • 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
    • Dec 1, 2014: Equity Trader Alert #2014-118 - Nasdaq Announces 2015 Saturday Testing Schedule
    • Dec 1, 2014: Equity Trader Alert #2014-117 - Nasdaq Updates Quote Display During IPOs and Halts
    • Nov 28, 2014: SR-BX-2014-048 - Order Granting Approval to Proposed Rule Change to Establish the Retail Price Improvement Program On a Pilot Basis Expiring Twelve Months from the Date of Implementation
    • Nov 28, 2014: SR-NYSE-2014-59 - Notice of Filing of Proposed Rule Change Amending Rule 13 and Related Rules Governing Order Types and Modifiers to Clarify the Nature of Order Types
    • Nov 20, 2014: Equity Trader Alert #2014-113 - Update: Nasdaq Enhances Minimum Acceptable Quantity Functionality
    • Nov 19, 2014: SR-NYSEMKT-2014-93 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Rules Concerning Supervision to Harmonize the Rules with Certain Financial Industry Regulatory Authority, Inc. Rules and Making Other Conforming Changes 
  • Additional Updates - Options
    • Options Penny Pilot - Nov 25, 2014: SR-NASDAQ-2014-115 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues that Have Been Delisted. See Also: SR-BX-2014-057SR-CBOE-2014-086SR-NYSEMKT-2014-99
    • Dec 4, 2014: SR-NASDAQ-2014-116 - Notice of Proposed Rule Change Relating to the NASDAQ Opening and Halt Cross
    • Dec 2, 2014: SR-NYSEMKT-2014-86 - Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Remove the Exchange's Quote Mitigation Plan as Provided by Rule 970.1NY 
    • Dec 1, 2014: SR-OPRA-2014-03 - Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Sections 5.4 and 7.1 of the OPRA Plan
    • Nov 28, 2014: SR-CBOE-2014-062 - Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt Extended Trading Hours for SPX and VIX
    • Nov 26, 2014: SR-CBOE-2014-088 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPX End-of-Month Closing Procedures
    • Nov 25, 2014: CBOE RG14-169 - New Fill Report Types
    • Nov 21, 2014: CBOE RG14-166 - Quoting Bandwidth Increase
    • Nov 21, 2014: CBOE RG14-165 - Rule 6.67 CBOE Trade Match System (CTM)
    • Nov 21, 2014: CBOE RG14-167 - Relief from Commodity Pool Operator and Commodity Trading Advisor Registration Requirements for Security Futures Trading
    • Nov 21, 2014: SR-NYSEArca-2014-133 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.1A to Adopt a Definition of "Professional Customer" on the Exchange.
    • Nov 20, 2014: SR-NASDAQ-2014-107 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Rule 7018(a) with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share. See also: SR-BX-2014-056
    • Nov 18, 2014: SR-ISE-2014-52 - Notice of Filing of Proposed Rule Change Regarding the Short Term Option Series Program
  • Next Meeting Date: Tuesday, January 20th, 2015 @ 4:00 PM ET