January 26, 2016 - Front Office Committee - Meeting Agenda

Meeting Agenda

  • FINRA Updates
    • Trade Reporting
      • Jan 20, 2016: FINRA Trade Reporting Notice - OTC Equity Trading and Reporting in the Event of Systems Issues
      • Jan 12, 2016: Nasdaq ETU2016-2 - Nasdaq Updates FINRA/Nasdaq TRF® Specifications for FINRA Proposed Rule Change Relating to the Submission of Step-Ins, Step-outs and Cross Trades
    • ATS
      • Jan 19, 2016: SR-FINRA-2016-002 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information
    • No Remuneration Indicator
      • Jan 22, 2016: SR-FINRA-2016-003 - Proposed Rule Change to Extend the Implementation Date of the No-Remuneration Indicator
  • NYSE Updates
    • Unique Order ID
      • Jan 7, 2016: SR-NYSE-2016-07 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 132.30(9) to Conform the Exchange’s Rules to Industry-Wide Standards for Recording the Capacity in which a Member Organization Executes a Transaction
    • Pillar
      • Functional Differences Between NYSE Arca and NYSE Pillar
      • Pillar Migration Plan for Clients
      • Jan 20, 2016: NYSE Pillar: Phase I Update – Symbol Migration Schedule and Upcoming Weekend Test
      • Jan 11, 2016: SR-NYSEArca-2015-86 - Order Granting Approval of Proposed Rule Change, and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 1 and 3 Thereto, Relating to Auctions for Pillar, the Exchange’s New Trading Technology Platform
  • Options Changes
    • ISE Mercury Changes
    • Jan 20, 2016: Nasdaq OTU2016-1 - Network Update to Support PHLX Application Changes
  • Regulator Examination Priority 
    • Jan 11, 2015: SEC Examination Priorities For 2016
    • Jan 5, 2016: FINRA 2016 Regulatory and Examination Priorities Letter
  • FIF Working Group Updates - Join Working Groups
    • Consolidated Audit Trail (CAT) 
      • Jan 7, 2016: Amended and Restated Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission
      • Jan 7, 2016: Amendment to the CAT NMS Plan (identifying the differences)
      • Next Meeting Date: Wednesday, Feb 3rd @ 3 PM ET
    • Tick Size Pilot
      • Jan 11, 2016: OATS Reporting Technical Specifications
      • Jan 11, 2016: OATS Changes for Members that Operate Tick Size Pilot Trading Centers
      • Jan 11, 2016: FINRA Tick Size Pilot Program Market Maker Transaction Reporting Specification Guide
      • Jan 11, 2016: Market Maker Reporting FAQ
      • Jan 11, 2016: OATS Report: Proposed OATS Changes for Members that Operate Tick Size Pilot Trading Centers (updated)
      • Dec 23, 2015: FIF Comments on SR-BATS-2015-108 for Quoting and Trading
      • Dec 23, 2015: FIF Comments on SR-BATS-2015-102 for Data Collection and Reporting
      • Dec 17, 2015: FIF Comments on SR-FINRA-2015-048 (Data Collection and Reporting)
      • Dec 17, 2015: FIF Comments on SR-FINRA-2015-047 (Quoting and Trading)
      • Next Meeting Date: Thursday, Jan 28th @ 1 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
    • Jan 21, 2016: Nasdaq ETA2016-11 - Retail Order Process Available Effective February 1, 2016
    • Jan 19, 2016: NYSEMKT-2016-13 - Proposal to Amend Rule 955NY(c) by Revising the Requirements for Entering an Order into the Electronic Order Capture System
    • Jan 14, 2016: FINRA Reg Notice 16-03 - SEC Approves Amendment to Apply FINRA Rule Governing Mark-ups to Transactions in Exempted Securities That Are Government Securities
    • Jan 13, 2016: SEC Release No. 34-76883 - Equity Market Structure Advisory Committee - Meeting on Tuesday, February 2, 2016
    • Jan 4, 2016: Nasdaq ETA2016-1 - Nasdaq Modifies Functionality for Orders Received in Halted and IPO Securities
    • Dec 18, 2015: S.754 — 114th Congress (2015-2016) - Cybersecurity Information Sharing Act of 2015
    • Dec 18, 2015: FINRA Updates the OTCBB/OTC Equities High Price Dissemination List
    • Dec 16, 2015: Revised Production Date for ORF API and TRAQS Reference Data Changes
  • Additional Updates - Options
    • Jan 22, 2016: Nasdaq ORA2016-4 - PHLX – Unbundling of Orders
    • Jan 20, 2016: SR-MIAX-2016-03 - Proposed Rule Change Relating to the Handling of Non-routable Orders
    • Jan 20, 2016: SR-MIAX-2016-02 - Proposed Rule Change Concerning Unbundling of Orders
    • Jan 19, 2016: SR-Phlx-2016-03 -  Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Nonsubstantive, Clarifying Amendments to Several Rules Relating to the Clearing of Exchange Options Transactions
    • Jan 8, 2016: SR-CBOE-2016-003 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Limit Order Price Protections for Stock-option Orders
    • Jan 7, 2016: SR-BYX-2015-53 -  Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes to Rules 11.5, Registration of Market Makers, 11.6, Obligations of Market Maker Authorized Traders, 11.7, Registration of Market Makers in a Security, and 11.8, Obligations of Market Makers
    • Jan 5, 2016: SEC Release No. 34-76823 -  Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the EDGX Exchange, Inc. as a Participant
    • Jan 4, 2016: Nasdaq OTA2016-1 - Nasdaq PHLX Introduces All-or-None Designation for Complex Orders
    • Dec 30, 2015: SR-Phlx-2015-99 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Order Exposure
  • FIF Blockchain Event Sponsored by Scivantage: Wednesday, February 10, 2016
  • Next Meeting Date: Tuesday, February 23rd, 2016 @ 4 PM ET