FIF - FIF Front Office Committee

FIF Front Office Committee

The FIF Front Office Committee focuses on order management and trading system issues resulting from regulatory changes (FINRA, SROs, SEC) as well as exchange initiatives. As new issues arise, members of this committee are notified to determine their interest in joining an issue-oriented working group. This committee meets periodically to review front office issues and determine when a new issue working group should be formed.

Please see FIF Initiatives Tracking for a full list of initiatives that this committee follows.

Chairs: Tula Tay, Morgan Stanley; Jess Haberman, Fidessa

FIF Front Office Meeting Agendas

Meeting Materials/Minutes

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January 20, 2009 - Front Office Meeting [Posted: 2009-03-31]
Meeting materials for the Front Office WG Meeting. Attachment includes mockup of a Reg NMS Report Card

Current Documents

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FIF Term Sheet on SEC Short Sale FAQ 2.4 and 2.5 [Posted: 2010-02-08]
FIF Request for Interpretive Relief With Respect to the Regulation SHO Aggregation and Marking Requirements

SEC Amendments to Short Sale - Excerpt [Posted: 2009-04-28]
Excerpts from the 273 page filing on Amendments to the Short Sale Rule published by the SEC on April 10, 2009.

Comment Letters

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Feb 24, 2010 - FIF Comment Letter to the SEC on Publication of Certain Aggregate Daily Trading Volume Data   [Posted: 2010-02-25]
FIF letter to the SEC regarding the use of a separate MPID for reporting the FINRA member firm's ATS dark pool transactions

Sep 23, 2009 - FIF Comment Letter II to the SEC on Short Sale   [Posted: 2009-09-24]
FIF Letter to the SEC offering feedback on proposed Short Sale Amendments

June 19, 2009 - FIF Letter to the SEC on Short Sale   [Posted: 2009-06-26]
FIF Letter to the SEC commenting on proposed Short Sale Amendments

April 24, 2009 - FIF Letter to FINRA and NYSE Euronext on NYSE Regulation Information Memo 09‐13 and FINRA Regulatory Notice 09‐15   [Posted: 2009-04-27]
FIF Letter to FINRA and NYSE Euronext Providing Feedback on NYSE Regulation Information Memo 09‐13 and FINRA Regulatory Notice 09‐15 Based on Input from FIF Members

February 19, 2009 - FIF Letter to SEC regarding SR–NASDAQ–2008–104   [Posted: 2009-03-23]
FIF Letter to the SEC regarding implementation issues associated with the NASDAQ sponsored access proposal

February 29, 2008 - FIF Letter to SEC regarding SR-FINRA-2007-12   [Posted: 2008-02-29]
FIF Letter to the SEC regarding the proposal to amend trade reporting rules to require related market center indicator on certain non-tape reports submitted to FINRA

Archive Documents

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April 29, 2008 - Front Office Meeting   [Posted: 2008-04-28]
Meeting materials for the Front Office WG Meeting

February 26, 2008 - Front Office Meeting   [Posted: 2008-02-26]
Meeting materials for the Front Office WG Meeting

January 29, 2008 - Front Office / Trade Reporting WG Direction Setting Meeting   [Posted: 2008-01-28]
Meeting materials for Front Office / Trade Reporting WG Direction Setting Meeting

fifinfo@fif.com . 212 422 8568
Financial Information Forum. 5 Hanover Square New York, NY. 10004