March 22, 2016 - FIF Front Office Meeting Agenda

Meeting Agenda

  • FINRA Updates
    • Mar 17, 2016: FINRA/NYSE Trade Reporting Facility (TRF) Messaging Specification (version 4.7)
    • Feb 18, 2016: SR-FINRA-2016-007 - Proposed Rule Change to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies
    • Jan 20, 2016: FINRA Trade Reporting Notice - OTC Equity Trading and Reporting in the Event of Systems Issues
  • NYSE Account Type Indicators
    • Mar 7, 2016: FIF Discussion - NYSE Account Type Indicators
    • Feb 29, 2016: NYSE Info Memo 16-2 - Revision of Account Type Indicators and FAQs
  • FIF Working Group Updates - Join Working Groups
    • ATS
      • Mar 1, 2016: SR-FINRA-2016-010 - Proposed Rule Change to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks)
      • Next Meeting Date: Thursday, March 24th @ 12 PM ET
    • Consolidated Audit Trail (CAT) - CAT NMS Plan
      • Mar 11, 2016: Notice of Filing of the 3rd Amendment to the Selection Plan
      • Mar 1, 2016: High Level CAT Security Requirements
      • Mar 1, 2016: SEC Release No. 34-77265 - Order Granting Exemptions from Certain Provisions of Rule 613 Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934
      • FIF - CAT Initiatives Page
    • Tick Size Pilot WG
      • FIF - Tick Size Pilot Initiatives Page
      • FINRA - Tick Size Pilot Program Page
      • Next Meeting Date: Thursday, March 24th @ 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
    • Mar 21, 2016: NYSE Pillar: Phase I Update –Symbol Migration Update
    • Mar 17, 2016: SR-NASDAQ-2016-036 -  Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Include U.S. Non-Display Policies in the Nasdaq Rule Book
    • Mar 16, 2016: SR-NASDAQ-2016-039 - Proposal to Modify the Maximum Number of Times an Order on Nasdaq may be Updated Before the System Cancels the Order
    • Mar 16, 2016: NYSE Pillar: Phase I Update –Symbol Migration Update 
    • Mar 11, 2016: SR-NYSEMKT-2016-29 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 401 and 402 of the NYSE MKT Company Guide to Harmonize the Exchange’s Immediate Release and Trading Halt Policies
    • Mar 10, 2016: Nasdaq ETA2016-56 - Reminder: Nasdaq to Implement Additional Price Protections to the Opening Cross Process
    • Mar 9, 2016: SR-FINRA-2016-011 - Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities
    • Mar 7, 2016: FINRA ORF Step In/Step Out Trades
    • Mar 1, 2016: Nasdaq ETA2016-45 - Nasdaq to Launch Small Cap Market Quality Pilots
    • Feb 25, 2016: Nasdaq ETA2016-40 - Trading Reporting OTC Transactions in NextShares to the FINRA/Nasdaq TRF
    • Feb 25, 2016: Nasdaq ETU2016-6 - ACTION REQUIRED: Guidance for Submission of Reversals
    • Feb 25, 2016: NYSE Client Notice - Delay- Rejection of Marketable Orders Larger than 1 Million Shares
    • Feb 23, 2016: SR-BATS-2016-14 - Notice of Filing of a Proposed Rule Change to Adopt an Early Trading Session and Three New Time-in-Force Instructions
    • Feb 22, 2016: Responses to FAQs Concerning Large Trader Reporting
  • Additional Updates - Options
    • Mar 14, 2016: Nasdaq ORA2016-10 - PHLX Retirement of FBMS 1 Effective April 1, 2016
    • Feb 29, 2016: Nasdaq ORA2016-9 - PHLX-FBMS 2.0, Market Access Rule Compliance
    • Feb 24, 2016: NYSE Trader Update - XDP Options: Quote Condition and Security Status Messages in the Deep Feed
    • Feb 23, 2016: ICE Futures U.S. Wash Trade FAQ
  • Next Meeting Date: Tuesday, April 19th, 2016 @ 4 PM ET