July 21, 2015 - Front Office Meeting Agenda

Meeting Agenda

  • NYSE Pillar
    • Jun 1, 2015: Pillar: Phase I Test Dates and Additional Functional Changes
  • FINRA Updates
    • Trade Reporting 
      • Jul 14, 2015: Updated FINRA Trade Reporting FAQs
      • Jun 26, 2015: Nasdaq ETA 2015-101 - Action Required: Upcoming Nasdaq TRF FINRA Amendments for Defaulting Capacity, Control Numbers on Reversals, Step-in's, and Additional Time Fields
    • OATS
      • Jul 10, 2015: OATS Compliance FAQs
      • Jul 10, 2015: Addendum to Technical Specifications
      • Jun 26, 2015: OATS Reporting Technical Specifications
      • Jun 26, 2015: FINRA Guidance on the OATS Reverse Linkage Process
      • Jun 12, 2015: Recap of FINRA's Responses to FIF Members' Questions re: OATS Effective Sept 28th
      • Jun 11, 2015: SR-FINRA-2015-016 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements.
    • ATS Transparency
      • Jul 2, 2015: SEC 34-75356 - Notice of Filing of a Proposed Rule Change to Expand FINRA's Alternative Trading System ("ATS") Transparency Initiative to Publish OTC Equity Volume Executed Outside ATSs. See also: SR-FINRA-2015-020. 
  • CBOE Options Tied to Stock 
    • Jul 7, 2015: SR-CBOE-2015-067 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay Implementation of Tied to Stock Marking Requirement for Certain Orders
    • Jun 19, 2015: CBOE Reg Circular RG15-093 - Updates to CBOE Rules 6.53(y) and 15.2A
  • Exchange-Traded Managed Funds
    • Exchange-Traded Managed Funds
    • Frequently Asked Questions: Exchange-Traded Managed Funds
    • Q&A with Nasdaq
  • FIF Working Group Updates - Join Working Groups
    • Tick Size Pilot
      • May 6, 2015: 34-74892 - Plan to Implement Tick Size Pilot Program
      • Next Meeting Date: Thursday, July 23rd @ 12 PM ET 
    • Consolidated Audit Trail
      • Jun 24, 2015: Approval Order of Amendment #1 to the Selection Plan
      • Jun 24, 2015: FIF Presentation to the SEC on CAT Implementation Schedule and Retirement Plan
      • Next Meeting Date: Thursday, July 30th @ 3 PM ET
  • FIF Retail Execution Quality Statistics
  • 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
    • Jul 7, 2015: SR-NASDAQ-2015-066 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Definition of Designated Retail Order in Nasdaq Rule 7018
    • Jul 7, 2015: Nasdaq ETA 2015-109 - Nasdaq's Lead Market Maker Program
    • Jul 7, 2015: Nasdaq ETA 2015-108 - Nasdaq Updates Order Processing After Closing Cross
    • Jul 7, 2015: Nasdaq ETA 2015-07 - Nasdaq Introduces Field Programmable Gate Array (FPGA) Order Entry Ports
    • Jun 29, 2015: SR-FINRA-2015-017 - Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories
    • Jun 22, 2015: SR-NASDAQ-2015-055 - Order Approving a Proposed Rule Change Regarding NASDAQ Last Sale Plus
    • Jun 19, 2015: Nasdaq ETA 2015-91 - PSX to Offer Midpoint Peg Post-Only Order
    • Jun 18, 2015: NYSE - Trading Near Or On The Close - FAQs
  • Additional Updates - Options
    • Jul 10, 2015: MIAX Options - Specification Updates to Support New Features
    • Jul 7, 2015: SR-CBOE-2015-063 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 6.49A
    • Jun 29, 2015: SR-BATS-2015-47 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.9 of BATS Exchange, Inc., to Modify its Price Adjust Functionality
    • Jun 26, 2015: SR-CBOE-2015-012 - Order Granting Approval of Proposed Rule Change Relating to Trading Permit Holder Qualifications
    • Jun 25, 2015: SR-EDGX-2015-18 - Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish Rules Governing the Trading of Options on the EDGX Options Exchange
    • Jun 25, 2015: SR-CBOE-2015-062 -Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Front-End Order Entry and Management Tools in Connection with Purchase of Livevol Assets
    • Jun 25, 2015: SR-CBOE-2015-047 - Order Approving Proposed Rule Change Relating to Floor Broker Due Diligence
    • Jun 24, 2015: Nasdaq OTA 2015-14 - BX Options, NOM, and PHLX Introduce Volume-Based and Multi-Trigger Rapid Fire
    • Jun 23, 2015: Nasdaq ORA 2015-21 - PHLX Notifies Participants of Inconsistencies with the Opening Process Rule (PHLX Rule 1017)
    • Jun 22, 2015: SR-BX-2015-034 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to a Proposal to Amend Chapter VI, Section 18 of the Exchange's Options Rules
    • Jun 18, 2015: SR-CBOE-2015-026 - Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Rules 6.74A and 6.74B
    • Jun 17, 2015: MIAX RC 2015-30 - Qualified Contigent Cross Orders
    • Jun 17, 2015: MIAX RC 2015-29 - Customer Cross Orders
    • Jun 17, 2015: CBOE Reg Circular RG15-092 - Amended Order Ticket Requirements for Complex Orders with More Than 12 Legs
    • Jun 16, 2015: CBOE Reg Circular RG15-091 - Processing for AIM Attempts While an Auction is Already in Progress - Update
    • Jun 15, 2015: Nasdaq OTU 2015-6 - PHLX, NOM, and BX Options Updates Technical Specifications