September 24, 2015 - Front Office Meeting Agenda

Meeting Agenda

  • FINRA Updates
    • Trade Reporting 
      • Sept 22, 2015: SR-FINRA-2015-035 - Proposed Rule Change Relating to the Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities
      • Sept 14, 2015: Nasdaq ETU #2015-14 - Action Required: FINRA/Nasdaq TRF Will Update the Post Hours Schedule Starting October 12, 2015
      • Aug 31, 2015: Nasdaq ETU #2015-12 - Action Required: FINRA/Nasdaq TRF Will Enable Support for "Carry Over Declined Trades"
    • OATS
      • Sept 28, 2015: OATS changes to become effective.  See also: FINRA Guidance on the OATS Reverse Linkage Process, Validation of Time in Force Code and the Addition of the Trading Session Code, Addendum to Technical Specifications, and OATS Compliance FAQs (see questions 93-100)
    • TRACE
      • Sept 10, 2015: SR-FINRA-2015-026 - Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down
      • Sept 3, 2015: TRACE Non-Member Affiliates and Enhanced Market Aggregates Testing
      • Aug 28, 2015: SEC 34-75782 - Order Approving Proposed Rule Change to Require Members to Report Transactions in TRACE-Eligible Securities As Soon As Practicable.  See also: FIF Submitted Comment Letter on SR-FINRA-2015-025, SR-FINRA-2015-025, and FINRA’s Response to the FIF Comment Letter on FINRA 2015-025
  • Exchange Traded Managed Funds
    • Sept 14, 2015: Nasdaq ETA #2015-144 - Nasdaq Completes Proprietary Platform Development to Support NextShares ETMFs
    • Sept 10, 2015 (last updated): ETMF FAQs
    • Aug 31, 2015: SR-NASDAQ-2015-103 - A Proposed Rule Change to Amend Nasdaq Rule 5745 Entitled Exchange-Traded Managed Fund Shares
  • Regulation SCI Updates
    • Sept 2, 2015: SEC Responses to Frequently Asked Questions Concerning Regulation SCI
  • BATS EDGX Options Launch
    • Sept 11, 2015: BATS to Hold Customer Call to Prepare for EDGX Options Launch on Tuesday, Sept 29, 2015 at 1 P.M. ET
    • Aug 13, 2015: BATS EDGX Options Exchange Update
    • BATS EDGX Options Roadmap
    • EDGX Options Technical Specifications
  • FIF Working Group Updates - Join Working Groups 
    • Tick Size Pilot
      • Aug 28, 2015 - FIF Tick Size Pilot WG Letter to Plan Participants
      • Next Meeting Date:  Tuesday, September 29th @ 10 AM ET
    • Consolidated Audit Trail
      • Next Meeting Date: Friday, September 25th @ 10 AM 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
    • Sept 15, 2015: SEC 34-75925 - Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
    • Sept 15, 2015: Nasdaq ETA #2015-146 - Nasdaq Introduces Additional Data Element to the IPO Indicator Service 
    • Aug 31, 2015: Nasdaq ETA #2015-137 - Nasdaq FPGA Order Entry Update
    • Aug 27, 2015: Nasdaq ETU #2015-13 - Update to Nasdaq Routing Liquidity Codes
  •  Additional Updates - Options
    • Sept 22, 2015: MIAX Options - Interface Specification Updates
    • Sept 11, 2015: CBOE RG15-127 - Multiple Contra-parties Permitted on QCC Orders
    • Sept 4, 2015: NASDAQ ORA2015-28 - NOM and BX Options Notify Participants of Discrepancy with Market Order Spread Protection Functionality
    • Aug 26, 2015: CBOE RG15-119 - Floor Broker Workstation (FBW) Cancellation Procedure