October 20, 2015 - Front Office Meeting Agenda

Meeting Agenda

  • FINRA Updates
    • Trade Reporting
      • Oct 13, 2015: Nasdaq ETU #2015-17 - Action Required: Guidance for Submission of Reversals
      • Sept 30, 2015: SR-FINRA-2015-035 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities.  
        • Nasdaq ETU #2015-16 
        • FINRA/NYSE TRF Specification 
        • FIX Specifications for the Over the Counter Trade Reporting Facility (Version 1.5)
        • Computer to Computer Interface (CTCI) Specifications for the Over the Counter Trade Reporting Facility (Version 1.4)
    • TRACE
      • Oct 16, 2015: 34-76176 - Notice of Amendment No.1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down.  See also: SR-FINRA-2015-026.
      • Sept 28, 2015: SR-FINRA-2015-037 - Proposed Rule Change to Extend the TRACE Pilot Program in FINRA Rule 6730(e)(4)
      • FINRA Fixed Income Report Cards Demonstration: October 22nd, 2:30-4 PM ET
  • NYSE Pillar
    • Oct 6, 2015: SR-NYSEARCA-2015-86 - Notice of Filing of Proposed Rule Change for New Equity Trading Rules Relating to Auctions for Pillar, the Exchange's New Trading Technology Platform
  • BATS EDGX Options Launch
    • BATS to Hold Customer Call to Prepare for EDGX Options Launch - October 29th @ 11 AM ET
    • Oct 14, 2015: Nasdaq OTU2015-9 - PHLX, NOM, and BX Options Updates Technical Specifications to Support EDGX Options
    • Sept 29, 2015: EDGX Options: Preparing for Launch Day - Customer Call Presentation and Audio Recording
    • Industry Codes for the BATS Options Exchanges
    • BATS EDGX Options Roadmap
    • EDGX Options Technical Specifications
  •  Professional Customer Designation
    • Oct 13, 2015: BOX RC-2015-22 - Professional Order Designation - Implementation
    • Sept 29, 2015: NYSE Arca  RBO‐15‐04 - Professional Customer Orders Marking - Implementation
    • Sept 9, 2015: NYSE Arca RBO-15-03 - Professional Customer Orders
  • Exchange Traded Managed Funds
    • Oct 15, 2015: SR-FINRA-2015-043 - Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA
    • NextShares Price Display Guidelines
  • Regulation SCI
    • Oct 15, 2015: SR-BATS-2015-86 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 2.4, Mandatory Participation in Testing of Backup Systems
    • Oct 1, 2015: OCC #37576 - Standards for Designating Clearing Members Required to Participate in Business Continuity and Disaster Recovery Testing
  • Reg SHO FAQs - Updated Oct 15, 2015
  • FIF Working Group Updates - Join Working Groups 
    • Consolidated Audit Trail
      • Next Meeting Date: Thursday, October 22nd @ 1 PM ET 
    • Tick Size Pilot 
      • FAQ: Data Collection Requirements for Broker-Dealers
      • Market Maker Transaction Data Technical Specification
      • OATS Reporting Technical Specifications
      • Proposed OATS Changes for Members that Operate Tick Size Pilot Trading Centers
      • Sept 25, 2015: FIF Letter to the Commission re: Tick Size Pilot Implementation
      • Next Meeting Date: Thursday, October 22nd @ 12 PM ET
    • BCP
      • Industry BCP Test
      • Oct 9, 2015: Industry-Wide Business Continuity Test – October 24, 2015
      • Oct 1, 2015: Nasdaq ETU2015-15 - SIFMA Industry-Wide Business Continuity Test to be Held Saturday, October 24, 2015
      • Sept 25, 2015: Test Script for NYSE Arca Equities, NYSE Arca Options, NYSE Amex Options, NYSE and NYSE MKT
  • 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
    • Oct 16, 2015: SR-NYSEMKT-2015-81 - Proposal to Amend Rule 123D - Equities to Specify That Exchange Systems May Open One or More Securities Electronically if a Designated Market Maker Registered in a Security or Securities Cannot Facilitate the Opening of Trading as Required by Exchange Rules
    • Oct 16, 2015: SR-NYSEMKT-2015-80 - Proposal to Delete Rule 410B - Equities Governing Reporting Requirements for Off-Exchange Transactions
    • Oct 6, 2015: SR-CHX-2015-03 - Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt and Implement CHX SNAP℠, an Intra-Day and On-Demand Auction Service
    • Sept 28, 2015: FINRA Updates the OTCBB/OTC Equities High Price Dissemination List
    • Sept 22, 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 10, 2015: SR–BX– 2015–032 - Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Establish a New Auction, BX PRISM
  • Additional Updates - Options
    • Oct 8, 2015: SR-CBOE-2015-081 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Orders
    • Oct 2, 2015: SR-CBOE-2015-077 - Notice of Filing of a Proposed Rule Change Relating to Margin Requirements
    • Oct 2, 2015: MIAX RC-2015-47 - Regulatory Requirements When Entering a Qualified Contingent Cross Order
    • Oct 1, 2015: SR-NYSEARCA-2015-81 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Several Rules to Address Certain Order Handling Obligations on the Part of Its Floor Brokers
    • Sept 30, 2015: CBOE RG15-136 - Not Held Orders
    • Sept 29, 2015: SR-CBOE-2015-080 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Bandwidth
    • Sept 29, 2015: SR-BATS-2015-76 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Restructure and Amend Rule 11.17, Clearly Erroneous Executions