May 19, 2015 - Front Office Meeting Agenda

Meeting Agenda

  • NYSE Pillar
  • FINRA Trade Reporting 
    • May 7, 2015: NASDAQ Alert 2015-4 - Reminder: Nasdaq TRF Saturday, June 13th Testing for FINRA Amendments 
    • May 5, 2015: FIF Comment Letter on SR-FINRA-2015-008.  See also: SR-FINRA-2015-008 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
    • Mar 23, 2015: NYSE Trader Update - FINRA/NYSE TRF Changes to Support FINRA Rule Amendments, Termination of Legacy FIX Version, and Rollout Schedule
    • Mar 16, 2015FINRA Response to FIF Questions on Trade Reporting FAQs
  • ORF Update
    • May 8, 2015: Revised OTC Reporting Facility (ORF) Platform API Specification
  • OATS Update
    • May 18, 2015: OATS Reporting Technical Specifications
    • May 18, 2015: Validation of Time in Force Code and the Addition of the Trading Session Code
  • NASDAQ PHLX Options Changes
    • May 1, 2015: NASDAQ Options Technical Alert 2015-4 - PHLX Updates FIX Specifications
  • CBOE Options Tied to Stock 
    • 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
    • Apr 24, 2015: UTP Vendor Alert #2015-7 -  New Timestamp Definitions for July 2015 Release
  • Real Time Clearing Impact on Trade Reporting
    • Update on Questions for DTCC and FINRA on Real Time Clearing
    • Next Meeting Date: Monday, June 1st @ 10 AM ET
  • Exchange-Traded Managed Funds
    • Exchange-Traded Managed Funds
    • Frequently Asked Questions: Exchange-Traded Managed Funds
  • 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, May 21st at 3 PM ET
    • Consolidated Audit Trail WG
      • Next Meeting Date: Friday, May 29th @ 3 PM ET
  • 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
    • May 18, 2015: Nasdaq Technical Update #2015-6- Information Regarding June 30, 2015 Leap Second Impact
    • May 13, 2015:SR-NYSEArca-2015-38 - Notice of Filing of Proposed Rule Change Adopting New Equity Trading Rules Relating to Trading Sessions, Order Ranking and Display, and Order Execution to Reflect the Implementation of Pillar, the Exchange's New Trading Technology Platform
    • May 11, 2015: SR-NASDAQ-2015-055 - A Proposal to Amend Rule 7039 (NASDAQ Last Sale Data Feed) With Language Regarding NASDAQ Last Sale ("NLS") Plus ("NLS Plus"), a Comprehensive Data Feed Offered by NASDAQ OMX Information LLC
    • May 5, 2015: SR-FINRA-2015-011 - Proposed Rule Change Relating to the Reporting Requirements of FINRA 4530(a)(1)(H)
    • Apr 30, 2015: SR-FINRA-2015-010 - Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities
    • Apr 29, 2015: SR-NYSEMKT-2015-33 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15- Equities to Reflect That Exchange Systems Will Not Publish Order Imbalance Information on the Initial Public Offering of a Security
    • Apr 28, 2015: NASDAQ ETA #2015-54 - Nasdaq Announces DR Data Center Migration to Chicago
    • Feb 12, 2015: SEC 34-74265 - Nasdaq UTP Plan
  • Additional Updates - Options
    • May 15, 2015: CBOE RG15-079 - VIX Matching Algorithm
    • May 15, 2015: MIAX Reg Circular 2015-26 - Changes to MIAX System Timers Effective May 18, 2015
    • May 13, 2015: SR-BOX-2015-19 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adjust the Preferred Market Maker Quoting Obligations
    • May 6, 2015: SR-CBOE-2015-039 - Proposal Related to the Nullification and Adjustment of Options Transactions Including Obvious Errors
    • May 6, 2015: NASDAQ Options Regulatory Alert 2015-14 - New Harmonized Obvious and Catastrophic Error Rule
    • May 6, 2015: MIAX Reg Circular 2015-25 - New Rules Regarding Nullification and Adjustment of Options Transactions Including Obvious Errors, Operative May 8, 2015.  See also: SR-MIAX-2015-34.
    • May 5, 2015: MIAX Alert 129775 - MIAX Options Exchange Will Conduct a Disaster Recovery Test on Saturday, May 16, 2015
    • May 4, 2015: SR-CBOE-2015-043 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Automated Improvement Mechanism Order Allocation
    • May 1, 2015: CBOE RG15-072 - Procedures Related to Rule 6.67 
    • Apr 30, 2015: SR-MIAX-2015-33 - Amend MIAX Rule 503 Relating to the Exchange's Opening Process
    • Apr 27, 2015: CBOE RG15-070 - Proposed Securities Trader Registration Category and Qualification Examination (Series 57)
    • Apr 23, 2015: CBOE RG15-069 - Inactivation of "Splitting" Feature for Stock-Option Strategy Orders Priced at the Market
    • Apr 22, 2015: CBOE RG15-067 - Compliance Date for Recently Amended Rules Related to Complex Order Tickets