June 16, 2015 - Front Office Meeting Agenda

Meeting Agenda

  • NYSE Pillar
    • Jun 8, 2015NYSE Arca FIX Specification
    • Jun 8, 2015: NYSE Arca UGW FIX Gateway Specification
    • Jun 8, 2015: NYSE Arca UGW Binary Gateway Specification
    • Jun 1, 2015: Pillar: Phase I Test Dates and Additional Functional Changes
  • FINRA Updates
    • Trade Reporting 
      • Jun 9, 2015: FINRA/NYSE Trade Reporting Facility (TRF) Messaging Specification
      • Jun 2, 2015: Nasdaq ETU #2015-8 - Action Required: Nasdaq Updates FIX and CTCI TRF Specifications for FINRA Amendments
      • Jun 1, 2015: Testing Dates for FINRA/NYSE TRF Changes to Support FINRA Rule Amendments, Termination of Legacy FIX Version, and Rollout Schedule
    • OATS Update
      • 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
      • May 18, 2015: OATS Reporting Technical Specifications
      • May 18, 2015:Validation of Time in Force Code and the Addition of the Trading Session Code
  • CBOE Options Tied to Stock 
    • May 21, 2015: SR-CBOE-2015-051 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay Implementation of Rule 15.2A
    • Apr 7, 2015: CBOE RG-15-056 - Tied to Stock Orders. New Implementation Date for Order Marking Requirement. Proposed Postponement of the Implementation of Reporting Requirement
  • SIP Changes
    • May 26, 2015: New CTS and CQS Expanded Message Header Testing: Reminder
    • Apr 24, 2015: UTP Vendor Alert #2015-7 -  New Timestamp Definitions for July 2015 Release
  • Leap Second Impact
    • Jun 11, 2015: OATS Guidance on the June 30, 2015 Leap Second
    • Jun 5, 2015: FINRA Facilities – June 30, 2015, Leap Second
    • May 29, 2015: CTA Notice 2559 - June 30, 2015 Leap Second – Early Extended Session Close
    • May 19, 2015: Nasdaq ETU #2015-7 - FINRA/Nasdaq TRF will be Closing Early on June 30, 2015 due to Leap Second Impact
    • May 18, 2015: Nasdaq ETU #2015-6 - Information Regarding June 30, 2015 Leap Second Impact
    • May 15, 2015: BATS EDGA Exchange and EDGX Exchange Leap Second Update - Early Extended Session Close on June 30, 2015
    • NYSE Notices on Leap Second Impact
  • Real Time Clearing Impact on Trade Reporting
    • June 1, 2015: DTCC and FINRA Responses to FIF Real-Time Clearing Questions
  • Exchange-Traded Managed Funds
    • Exchange-Traded Managed Funds
    • Frequently Asked Questions: Exchange-Traded Managed Funds
    • Q&A with Nasdaq: Monday, June 29th @ 1 PM ET
  • 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, June 18th  @ 11 AM ET
    • Consolidated Audit Trail WG
      • May 26, 2015: Summary of the Consolidated Audit Trail Initiative
  • 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
    • Jun 12, 2015: SEC 34-75165 - Request for Comment on Exchange-Traded Products
    • Jun 11, 2015: SR-NYSE-2015-26 - Notice of Filing of Proposed Rule Change Making Permanent the Rules of the New Market Model Pilot and the Supplemental Liquidity Providers Pilot 
    • Jun 10, 2015: SR-FINRA-2015-017 - Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories
    • Jun 9, 2015: Nasdaq ETA 2015-85 - Nasdaq to Introduce a New Patent Pending Retail Order Process
    • Jun 4, 2015: SR-BATS-2015-40 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 13.8 Describing a Communication and Routing Service Known as BATS Connect
    • Jun 2, 2015: NYSE Arca Equities Phase 2 Elimination of Certain Order Types and Modifiers
    • Jun 2, 2015: SR-NYSEMKT-2015-41-Notice of Filing of Proposed Rule Change Amending Rule 6.91(c), Electronic Complex Order Auction Process Removing the Limitation on Who Can Respond to a COA and Provide a Response Time Interval of at least 500 Milliseconds; and Rule 6.47A, Order Exposure Requirements-OX to Add Use of the COA for a User to Satisfy the Order Exposure Requirement in Rule 6.47A and Delete the Reference in Rule 6.91(c) to the Order Exposure Requirements -OX Being Separate from the Duration of the COA Response Time Interval
    • May 27, 2015: SR-NYSEMKT-2015-22 - Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSEMKT Rule 13 - Equities and Related Rules Governing Order Types and Modifiers
    • May 22, 2015: New Location for Limit Up/Limit Down (LULD) and Short Sale Restriction (SSR) Information
  • Additional Updates - Options
    • Jun 11, 2015: SR-NYSEArca-2015-45 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising the Schedule for Implementing the Exchange's Recently Approved Rule to Provide a Price Protection for Market Maker Quotes Pursuant to Rule 6.61
    • Jun 11, 2015: SR-NYSEMKT-2015-42 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising the Schedule for Implementing the Exchange's Recently Approved Rule to Provide a Price Protection for Market Maker Quotes Pursuant to Rule 967.1NY
    • Jun 10, 2015: Nasdaq OTA 2015-13 - PHLX Notifies Participants of an Issue Related to the Mapping of ABBO Quote Conditions
    • Jun 4, 2015: SR-CBOE-2015-053 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Intermarket Order Routing
    • Jun 4, 2015: CBOE IC15-037 - PULSe Trading Platform Move to Equinix NY4
    • May 28, 2015: Nasdaq ORA #2015-18 - PHLX, NOM, and BX Options Notify Participants of Discrepancy with Order Price Protection Functionality
    • May 21, 2015: CBOE RG15-085 - Systematization and Representation of Orders from FBW, FBW2 and PULSe
    • May 21, 2015: SR-CBOE-2015-048 - Notice of Filing of a Proposed Rule Change to Amend Exchange Rules Related to Order Tickets
    • May 20, 2015: SR-CBOE-2015-045 - Notice of Filing of a Proposed Rule Change Relating to Rule 6.53C and Complex Orders on the Hybrid System
    • May 20, 2015: SR-BOX-2015-20 - Notice of Filing and Immediate Effectiveneess of Proposed Rule Change to Authorize the Exchange to Share Any Participant-Designated Risk Settings in the Trading System With the Clearing Participant That Clears Transactions on Behalf of the Participant